Senior Principal Consultant

About the role

Location: Flexible, can be US remote. The individual participates in mock regulatory examinations and compliance program reviews, assists with policy and procedure reviews, drafts reports and manuals promoting compliance, provides compliance assistance and advice to clients (including private funds and registered products), can lead complex projects, develops client relationships, oversees ACA junior staff, and may serve as an outsourced chief compliance officer (oCCO) ensuring compliance programs meet regulatory requirements and best practices.

Responsibilities

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews (preparing document requests, reviewing documents, conducting interviews, drafting reports), overseeing and reviewing work of project team members.
• Perform broad scope work during reviews of ACA’s largest and most complicated clients; guide, coordinate, and consolidate work of colleagues.
• Provide regulatory consulting services as needed (drafting and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, marketing materials, answering compliance‑related questions, identifying issues and proposing resolutions).
• Manage assigned client relationships and projects proactively and profitably, providing expert advice and delivering a superior client experience.
• Liaise with internal departments (finance, sales, legal) as the designated account owner, responding timely to client questions and ensuring colleagues do the same.
• Identify, manage, and/or support ACA special projects and internal initiatives (drafting articles for industry publications, participating in sales, conducting or overseeing research on compliance issues, preparing, overseeing preparation, and/or delivering internal or client training and 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.

Requirements

Bachelor’s degree. 8 years of industry experience. Alternatively, at least 6 years of experience that includes some combination of: (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.

Qualifications

Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions (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. Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred. Supervisory experience.

Skills

• 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 internal and external projects.
• 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.
• Willing to travel.

Benefits

We offer a competitive compensation package where you’ll be rewarded based on performance and recognized for the value you bring. Our Total Rewards package includes medical and dental coverage, 401(k) plans, a wide range of paid time off options, and 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. Unique benefits such as Student Debt Forgiveness and Pet Insurance are also offered.

Pay

Salary Range: $180K‑$200K plus bonus.