Consultant (MS), Regulatory Filings

We are seeking a Consultant to work with and support supervisors, relationship managers, account owners, and engagement leads for certain ACA managed services offerings for Form PF and CPO-PQR filings. This role involves supervisory, training, and subject matter expertise responsibilities in addition to direct support on managed services engagements.

Responsibilities

• Own end-to-end preparation, validation, and timely submission of Form PF and Form CPO-PQR filings in accordance with SEC and CFTC regulatory requirements.
• Oversee and manage the team responsible for preparing and submitting Form PF and Form CPO-PQR filings, providing training, conducting performance reviews, and carrying out regular quality checks to ensure accuracy, consistency, and adherence to regulatory and internal standards.
• Proactively engage with clients to gather requirements, explain processes, and ensure smooth onboarding and ongoing service experience.
• Oversee ongoing client relationships, communicating findings, tracking budgets, reviewing invoices, answering questions, and ensuring client expectations and contractual obligations are met.
• Assist clients in analyzing potential regulatory matters related to Form PF and Form CPO-PQR filings, providing tailored guidance.
• Monitor evolving SEC, CFTC, and broader regulatory developments, interpret their impact on client obligations, and proactively update clients and design internal process changes as required.
• Act as principal regulatory liaison for Form PF and Form CPO-PQR filings on behalf of clients, including interactions with regulators where required.
• Review and interpret regulatory updates to Form PF and CPO-PQR rules and guidelines, assess their impact on client obligations, and collaborate with internal teams to update methodologies, templates, and timelines.
• Work with colleagues to manage interfaces between regulatory reporting systems and internal/external data sources, including vendor integrations.
• Provide expert guidance to internal stakeholders on Form PF and Form CPO-PQR requirements, translating technical rules into clear, practical processes.
• Support and/or lead managed services projects with other supervisors, relationship managers, account owners, and project leads.
• Train new staff on regulations, policies, and procedures in one-on-one and small group settings.
• Participate in training and career development via assigned courses, supervisor instruction, and other training opportunities.
• Develop and maintain internal knowledge resources.
• Manage and support thought leadership and other initiatives to promote ACA’s sales and marketing efforts.
• Perform other ad-hoc work and special projects to support ACA’s various client and internal initiatives, including:
  • Analyst training
  • Public speaking engagements
  • Attending conferences and roundtable events
  • Onsite client engagements

Requirements

• Bachelor’s degree in Finance, Economics, or Accounting with demonstrable expertise in regulatory reporting and technical systems.
• Minimum of 3 years’ industry experience in fund administration, asset management, or regulatory reporting—encompassing oversight of Form PF or CPO-PQR filings, client engagement, and management of technical interfaces.
• In-depth working knowledge of SEC and CFTC regulations.

Skills

• Demonstrated professional integrity.
• Strong verbal and written communication skills; able to engage confidently with both technical and non-technical stakeholders, including clients, regulators, and internal technical teams.
• Proactive, client-centric mindset; adept at building and maintaining robust relationships.
• Ability to work in a fast-paced, small team environment.
• Highly organized, able to prioritize multiple concurrent tasks in a fast-paced, evolving regulatory landscape.
• Ability to establish and maintain effective working relationships with colleagues and clients.
• Dedicated to upholding ACA’s high-quality standards and customer service focus.
• Strong analytical, organizational, and problem-solving skills with excellent attention to detail.
• Proficient with Microsoft Office applications and comfortable working in a tech-enabled environment.

Benefits

• Competitive compensation package with performance-based rewards.
• Total Rewards package including medical and dental coverage and 401(k) plans.
• Paid time off options, including designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence.
• Flexible work environment.
• Unique benefits such as Student Debt Forgiveness and Pet Insurance.

Pay

Salary Range: $75,000 - $80,000