Director, Filings

ACA Group•Durham, NC

5d•Hybrid

About The Position

The Director, Regulatory Filings, is a highly visible leader who will shape the strategy, performance, and continued growth of our Regulatory Filings practice. This leader will oversee end-to-end delivery of regulatory filing services, building a scalable, high-performing operation known for exceptional quality, disciplined risk management, and an outstanding client experience. We are looking for a proven leader with deep regulatory filings expertise, a passion for building high-performing teams, and a track record of driving meaningful change in complex, fast-paced environments. The ideal candidate pairs technical credibility with sharp business judgment and can confidently balance operational performance, client needs, and commercial priorities.

Requirements

Bachelor’s degree in business, operations, or related field required; advanced degree preferred.
At least eight years of experience in regulatory operations, compliance services, or adjacent professional services, supported by deep regulatory filings expertise.
Demonstrated success leading teams through restructuring, transformation, or operating model changes while sustaining service quality and team engagement.
Experience leading high-volume, recurring regulatory filings across multiple regulatory bodies, with hands-on knowledge of filing platforms, regulatory portals, and RegTech tools.
Experience scaling filing operations while maintaining accuracy and timeliness.
Demonstrated accountability for client filing outcomes, including clear communication regarding delays, defects, and regulatory updates.
Proven success building and leading high-performing teams, strengthening operational discipline, and delivering measurable process improvements.
Experience in resource planning and client delivery management in a complex environment.

Nice To Haves

An inspiring, accountable leadership style that develops talent, builds trust, and creates high-performing teams.
Clear, confident communication and the ability to influence clients, team members, and senior stakeholders.
A data-driven mindset and the ability to turn operational insights into practical, scalable process improvements.
Proficiency in resource planning and forecasting.
Sound judgment and composure under pressure, with the ability to resolve escalations quickly while protecting client trust.
Leads the responsible adoption of AI and emerging technologies to improve the efficiency, scalability, quality, and consistency of regulatory filing processes while maintaining appropriate regulatory oversight and risk management.

Responsibilities

Maintaining strong technical knowledge on various regulatory filings including Section 13 filings, Form ADV, Form PF, Form N-PX, and Annex IV.
Ensuring the team meets utilization and other operating metrics.
Building supervisor bench strength, partnering with staffing, and continuously developing the team’s subject matter expertise and client relationship management skills.
Enforcing standards, identifying efficiency gains, and partnering with strategy and operations personnel to implement changes.
Ensuring consistent service to clients and addressing and resolving escalations.
Collaborating with staffing leads to anticipate demand, balance workload and plan headcount.
Lead the service line to consistently achieve—and raise the bar on—key operational targets, including utilization, turnaround times, on-time filings, and quality.
Build a strong leadership pipeline by coaching supervisors and team members, delivering continuous feedback, and establishing training programs that accelerate growth and deepen expertise.
Champion consistent process standards and compliance while identifying opportunities to simplify work, increase efficiency, and partner with strategy and operations personnel to implement lasting improvements.
Own client delivery performance, resolve escalations with urgency, and strengthen client trust through consistent, high-quality service.
Partner with staffing leads to anticipate demand, balance workloads, and build a forward-looking headcount plan that positions the team for growth.
Lead cross-functional initiatives that transform service delivery, expand scalability, and create a consistently exceptional client experience.