Consultant (MS), Regulatory Filings

The Opportunity:

The individual in this position works with and supports supervisors, relationship managers, account owners, and engagement leads for certain ACA managed services offerings for Form PF and CPO-PQR filings. Consultants typically have supervisory, training, and/or subject matter expertise responsibilities in addition to their expertise and support on managed services engagements. Consultants are expected to maintain up-to-date knowledge regarding the regulations, best practices, and nuances associated with the products and services they engage in.

What you’ll do:

• 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 and facilitate any internal process changing requirements
• 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 the internal teams to update methodologies, templates and timelines
• Work with colleagues to manage any applicable interface between regulatory reporting systems and internal/external data sources/feeds and systems connections 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/curriculums, 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/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to:
• Analyst training
• Public speaking engagements
• Attend conferences and roundtable events
• Onsite client engagements

To Qualify for the role, you will have:

• 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 and Attributes for Success:

• 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
• Hightly 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

About ACA:

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

What we commit to:

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.