SEC Mock Examiner

ACA Group•New York, NY

4d•Hybrid

About The Position

ACA Group is a leading Governance, Risk and Compliance (GRC) provider to private funds. The company is experiencing significant growth and is seeking experienced leaders and seasoned experts to support this expansion. ACA serves a large number of clients, including a substantial portion of top-tier Private Equity and Hedge Fund managers. The ideal candidates will have current or recent experience as a private funds examiner or attorney with the U.S. Securities and Exchange Commission (SEC). The role involves conducting mock regulatory examinations and compliance program reviews.

Requirements

Bachelor’s degree.
Current or recent private funds related experience as an examiner or attorney with the U.S. Securities and Exchange Commission.
At least 7 years of industry experience.
Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions.
Executive presence – a professional who interacts effortlessly with regulators and high-profile clients.
Demonstrated leadership and 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, maintain, and grow effective working relationships with colleagues and clients.
Highly motivated and goal-oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
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.
Understanding of web-based technology applications and willingness to provide input on enhancements and new solutions.
Willing to travel.

Nice To Haves

Experience within the SEC’s Private Funds Unit (PFU).
Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.
Supervisory or other leadership experience.

Responsibilities

Lead or assist all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting testing and interviews, identifying deficiencies, making recommendations, and drafting reports.
Identify, develop, and generate business opportunities across the ACA enterprise to offer comprehensive services to new and existing clients, acting as a subject matter expert on commercial calls.
Increase ACA’s brand awareness through writing articles, speaking/presenting at industry conferences, and delivering internal or client presentations on key topics.
Identify, manage, and/or support ACA special projects and internal initiatives.
Supervise, train, evaluate, oversee, and provide feedback to colleagues as needed.