Senior Principal Consultant

ACA Group•Portland, ME

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. 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.

Requirements

10+ years related industry experience.
Advanced knowledge of Federal and State securities regulation and interpretation.
Ability to keep abreast of rules, regulations and current issues impacting our clients and to be able to disseminate this information to clients.
Ability to travel, with responsibility for servicing clients located across a wide geographic area.
Proven ability to work within company established workflows and collaborate with team on refinements to internal procedures.
Customer-focused attitude.
Self-starter and ability to organize workload and meet deadlines.
Ability to handle multiple priorities efficiently.
Advanced working knowledge of computer systems, database systems, paperless data retention and email.
Team player mentality. Willing to do what it takes to get the job done.
Strong relationship management skills and executive presence.
Strong time management and organization skills with a strong attention to detail.
Strong written communication and oral communication skills and ability to interface with all levels of management.

Nice To Haves

Previous experience with a regulatory agency preferred (SEC, FINRA or state).
Bachelor’s degree, preferably in a related field.

Responsibilities

Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., 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).
Complete onsite examinations, testing and other onsite client visits as required.
Manage assigned client relationships and projects proactively, including providing expert advice and an excellent client experience, as well as monitoring profitability and accounts receivable. 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.
Assist with business development by providing technical expertise and industry knowledge.
Assist with webinars, conferences, newsletters, blogs, and other publications.
Conduct oneself in a professional manner.
Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies.