Senior Principal Consultant, (Chief Compliance Officer)

ACA Group•Durham, NC

3d•$180,000 - $200,000

About The Position

The Senior Principal Consultant (Chief Compliance Officer) participates in mock regulatory examinations and compliance program reviews, assists with policy and procedure reviews, and drafts reports and manuals that promote compliance with regulatory requirements. The role provides compliance assistance and advice to clients, including advisers to private funds and registered products, and may lead complex projects. The individual develops client relationships and oversees and develops junior ACA staff. The position may also serve as an outsourced chief compliance officer (oCCO), acting as the named CCO for clients and ensuring their compliance programs are carried out in accordance with regulatory requirements and best practices. The role manages client relationships and projects, provides expert advice, and supervises, trains, evaluates, and gives feedback to colleagues. Travel is required. The location is flexible.

Requirements

Bachelor’s degree.
Eight years of industry experience, or at least six years of experience that includes some combination of serving as an examiner or attorney at the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority, and working as a compliance analyst or consultant with ACA or a comparable consulting organization.
Advanced knowledge of relevant federal securities laws, associated rules, and regulatory positions, including the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, and Commodity Futures Trading Commission Act of 1974.
Executive presence and ability to interact professionally and effectively with regulators and high-profile clients.
Demonstrated professional integrity.
Dependability, flexibility, and adaptability to new 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.
Motivation and goal orientation, initiative in education and career progression, and willingness to volunteer for internal and external projects and tasks.
Commitment to high-quality standards and customer service.
Strong organizational and problem-solving skills, with attention to detail.
Strong oral and written communication skills.
Proficiency with Microsoft Office applications and comfort working in a technology-enabled environment.
Understanding of web-based technology applications and willingness to provide input on enhancements and new solutions.
Willingness to travel.

Nice To Haves

Major or concentration in compliance, law, business, accounting, finance, or economics.
Supervisory experience.

Responsibilities

Lead or assist all aspects of mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, drafting reports, and overseeing project team members’ work.
Perform a broad scope of work for ACA’s largest and most complicated client reviews, guiding, coordinating, and consolidating colleagues’ work.
Provide regulatory consulting services, including drafting and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, marketing materials, and other compliance documents, answering client compliance questions, identifying compliance issues, and proposing resolutions.
Manage assigned client relationships and projects proactively and profitably, provide expert advice, and deliver a superior client experience.
Coordinate with internal departments when designated as account owner, respond promptly to client questions and needs, and ensure colleagues contributing to shared accounts do the same.
Identify, manage, or support special projects and internal initiatives, such as drafting industry articles, participating in sales, researching compliance issues, and preparing or delivering training and presentations.
Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
Perform ad hoc work and special projects supporting client and internal initiatives.
When serving as an outsourced chief compliance officer, act as the named CCO for clients and ensure their compliance programs meet regulatory requirements and best practices.
Travel as required.