Senior Principal Consultant
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Key skills for this role
About the Role
ACA Group seeks a Senior Principal Consultant to lead mock regulatory examinations, provide compliance consulting to financial services clients, and manage client relationships. Requires 8+ years of industry experience and advanced knowledge of federal securities laws.
Key Skills for This Role
Responsibilities
- Lead or assist all aspects of mock regulatory examinations and compliance program reviews, including overseeing and reviewing the work of project team members
- Perform a broad scope of work during reviews of ACA’s largest and most complicated clients, and guide, coordinate and consolidate the work of colleagues
- Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials)
- Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a superior client experience
- Identify, manage and/or support ACA special projects and internal initiatives (e.g., drafting articles, participating in sales, conducting research, preparing training)
- Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity
Requirements
- Bachelor’s degree
- 8 years of industry experience, or at least 6 years of experience that includes some combination of: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA
- Advanced knowledge of relevant federal securities laws and associated rules (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974)
- Executive presence – a professional who interacts effortlessly with regulators and high profile clients
- Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred
- Supervisory experience
Full Job Posting
Job Description
- The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and adv
- The individual can take a leading role on complex projects. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff.
- The individual should also be open to serving as an outsourced chief compliance officer (oCCO) to clients.
What You’ll Do
- Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports), including overseeing and reviewing the work of project team members.
- Perform a broad scope of work during reviews of ACA’s largest and most complicated clients, and to guide, coordinate and consolidate the work of colleagues during these reviews.
- Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, answering compliance related questions from clients, as well a
- Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a superior client experience.
- Identify, manage and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct or oversee research on compliance issues, prepare, oversee the preparation of, and/or deliver internal or client training and/or presentatio
- Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
- Perform ad hoc work/special projects as necessary to support ACA on various client and internal initiatives.
Qualifications
- Bachelor’s degree.
- 8 years of industry experience. Alternatively, at least 6 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organiza
- Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974.)
- Executive presence – a professional who interacts effortlessly with regulators and high profile clients.
- Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.
- Supervisory experience.
Skills and attributes for success
- Demonstrated professional integrity.
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
- Ability to exercise discretion and make independent judgments on matters of significance.
- Ability to work in a fast paced individual and small team environment.
- Ability to establish and maintain effective working relationships with colleagues and clients.
- Highly motivated and goal oriented; proactive in one’s own education and career progression.
- Dedicated to upholding ACA’s high quality standards and customer service focus.
- Strong organizational and problem solving skills with attention to detail.
- Strong oral and written communication skills.
- Proficient with Microsoft Office applications and comfortable working in a tech enabled environment.
- Willing to travel.
What working at ACA offers
- Competitive compensation package including medical and dental coverage, 401(k) plans, and a wide range of paid time off options.
- Flexible work environment.
- Time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence.
- Unique benefits such as Student Debt Forgiveness and Pet Insurance.
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