Senior Principal Consultant

ACA Group•Durham, NC

About The Position

The Senior Principal Consultant/Outsourced Chief Compliance Officer is responsible for Investment Advisor compliance clients, particularly RIAs managing private funds and/or registered products (ETFs and/or mutual funds),and provides those clients with expert advice and guidance related to the design and implementation of their compliance programs. This role can be based out of New York, Pittsburgh, Chattanooga, Portland/Maine, Boston, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, Dallas or Houston. What you’ll do: Serve as the outsourced chief compliance officer for RIA compliance clients. Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements Provide clear, focused, and practical guidance to clients based on SEC regulations Conduct (scheduled and ad hoc) conference calls and online meetings with client executives to deliver guidance and advice with respect to regulatory best practices Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar) Liaise with Fund CCOs and compliance staff, assisting the RIA with periodic Fund compliance questionnaires and certifications Conduct annual 206(4)-7 examinations Lead and coach clients through SEC regulatory exams Maintain firm records (calendars, project workflows, and status updates), accounting records, and time reporting Assist clients with compliance questions and other needs Use creative thinking to brainstorm new services that add value to client relationships Assisting in enhancing internal workflow and processes Produce and deliver externally focused compliance content (e.g. webinars, research notes, white papers) Attend conferences and meetings as requested Conduct self in a professional manner Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies Other tasks and projects as assigned

Requirements

Minimum six (6) years of Investment Adviser Compliance Experience (consulting or in-house), experience with registered product and/or private funds is required
Advanced knowledge of the Investment Advisers Act of 1940 and state laws, knowledge of the Investment Company Act of 1940 is a plus
Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
Excellent oral and written communication skills
Detail-oriented and multi-task capability
Independent Self-Starter – the ability to organize workload and meet deadlines
Service orientation with proven ability to provide superior customer service
Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
Ability to work both independently and as part of a team
Customer-focused attitude
Time management and organization skills, with a strong attention to detail
Strong written communication and oral communication skills

Nice To Haves

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 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.
Willing to travel.

Responsibilities

Serve as the outsourced chief compliance officer for RIA compliance clients.
Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements
Provide clear, focused, and practical guidance to clients based on SEC regulations
Conduct (scheduled and ad hoc) conference calls and online meetings with client executives to deliver guidance and advice with respect to regulatory best practices
Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar)
Liaise with Fund CCOs and compliance staff, assisting the RIA with periodic Fund compliance questionnaires and certifications
Conduct annual 206(4)-7 examinations
Lead and coach clients through SEC regulatory exams
Maintain firm records (calendars, project workflows, and status updates), accounting records, and time reporting
Assist clients with compliance questions and other needs
Use creative thinking to brainstorm new services that add value to client relationships
Assisting in enhancing internal workflow and processes
Produce and deliver externally focused compliance content (e.g. webinars, research notes, white papers)
Attend conferences and meetings as requested
Conduct self in a professional manner
Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
Other tasks and projects as assigned

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.

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