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 that promote compliance, provides compliance assistance and advice to clients (including private funds advisers and registered products), can lead complex projects, develops client relationships, oversees ACA junior staff, and may serve as an outsourced chief compliance officer (oCCO) responsible for ensuring clients’ compliance programs meet regulatory requirements and best practices.

Responsibilities

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, 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 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, marketing materials and other compliance documents, answering compliance‑related questions, identifying compliance‑related 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 to clients’ questions and needs promptly and ensuring 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, participating in sales, conducting or overseeing research on compliance issues, preparing, overseeing preparation of, 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 or 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 either (i) experience as an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority, or (ii) experience as a compliance analyst or consultant with ACA or a comparable consulting organization.
• Advanced knowledge of relevant federal securities laws and associated rules (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 – ability to interact effortlessly with regulators and high‑profile clients.
• Preferred: major or concentration in compliance, law, business, accounting, finance, and/or economics; 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 significant matters.
• 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 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; comfortable in a tech‑enabled environment.
• Understanding of web‑based technology applications and willingness to provide input on enhancements and new solutions.
• Willing to travel.

Benefits

• Competitive compensation package tied to performance.
• Total Rewards includes medical and dental coverage, 401(k) plans, wide range of paid time off