Senior Principal Consultant

What you’ll do

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, 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).
• Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a superior client experience.
• Liaise 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).

Requirements

• Bachelor’s degree.
• 8 years of industry experience.
• Alternatively, at least 6 years of experience that includes some combination of the following: (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.
• Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (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.).

Qualifications

• 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 and Attributes for Success

• 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.
• Hightly 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.
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions.
• Willing to travel.

Supervisory Duties Summary

• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.