Principal Consultant

ACA Group • Medford, OR

1d • Hybrid

About The Position

The individual in this position is responsible for participating in and leading 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 advice to clients including those that advise private funds (i.e. hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.). The individual in this position is also responsible for the development of client relationships and the development and oversight of ACA junior staff.

Requirements

• Bachelor’s degree.
• 6 years of industry experience. Alternatively, at least 4 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 organization comparable to ACA.
• Strong working 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).

Nice To Haves

• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.
• Supervisory experience.

Responsibilities

• Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports).
• Perform a broad scope of work during reviews of clients with a typical level of scale and complexity for ACA’s client base, 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, marketing materials, and other compliance documents, answering compliance-related questions from clients, as well as identifying compliance-related issues and proposing resolutions).
• Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a positive client experience. Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients’ questions and needs promptly and ensuring that colleagues contributing to shared accounts do the same.
• Identify, manage, and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales, conducting or overseeing research on compliance issues, preparing, overseeing the preparation of, and/or delivering internal or client training and/or presentations).
• 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.

Benefits

• We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business.
• Our Total Rewards package includes medical and dental coverage 401(k) plans, and a wide range of paid time off options as well as a flexible work environment.
• You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
• We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 251-500 employees