Senior Principal Consultant

ACA Group•Durham, NC

8d•$180,000 - $200,000•Remote

About The Position

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 advice to clients including those that advise private funds (i.e. hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.) and/or registered products (ETFs and/or mutual funds). 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. As an oCCO, the individual will be the named CCO for such clients and will be responsible for ensuring that the compliance program is carried out in accordance with regulatory requirements and best practices.

Requirements

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 organization comparable to ACA.
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.
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; 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 in enhancements and new solutions.

Nice To Haves

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

Responsibilities

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 as identifying compliance-related issues and proposing resolutions).
Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a superior 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 in a timely manner 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, participate in sales, conduct or oversee research on compliance issues, prepare, oversee the preparation of, and/or deliver internal or client training and/or presentations).
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.
Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.