Senior Principal Consultant
ACA Group · Missouri, United States · 3 wk ago
Information TechnologyFull-time
We need to output HTML fragment with sections: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections that have real specific content. The posting includes location flexible remote US. The description includes responsibilities (what you'll do). Requirements: Bachelor's degree, 8 years industry experience, alternative 6 years with certain experience, advanced knowledge of laws, executive presence. Qualifications: maybe same as requirements? The posting also has "Ideally, you'll also have: Major or concentration...". Skills and attributes for success: list. Supervisory Duties Summary: supervisory duties. What working at ACA offers: benefits, compensation package, medical/dental, 401k, PTO, flexible work environment, student debt forgiveness, pet insurance. Also Salary Range: $180K-$200K plus bonus. No schedule info. So we can include sections: About the role (maybe a brief description of role?), Responsibilities, Requirements, Qualifications (maybe combine?), Skills, Benefits, Pay. Schedule not present, so omit. Also we need to not repeat job title as heading. Use for each section heading. Use
for each section heading. Use - for lists. Use
for prose.
We must preserve all substantive info, not invent or summarize away detail. Must not include boilerplate like EEO, etc. Remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. The posting includes some EEO statement at end; we should drop that. Also drop "What we commit to:" maybe considered EEO? It's nondiscrimination policy; we should drop. Also drop "About ACA:" maybe considered boilerplate? It's description of company; might be considered substantive? The instruction: remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. "About ACA:" is not exactly those, but could be considered company overview; maybe keep? It's not a required section heading; we could incorporate into About the role? The instruction: Use
for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). So we could have an About the role section that includes description of role and maybe company overview. But we must not invent or summarize away detail. We can include the description of role from first paragraph: "Location: Flexible, can be US remote The individual in this position is responsible for participating in mock regulatory examinations..." etc. That's substantive. We'll put that in About the role.
Responsibilities: from "What you’ll do:" bullet list.
Requirements: from "To qualify for the role you must have:" plus maybe "Executive presence – a professional who interacts effortlessly with regulators and high-profile clients." That's a qualification.
Qualifications: maybe "Ideally, you’ll also have: Major or concentration..." plus "Supervisory experience." Could be separate Qualifications.
Skills: from "Skills and attributes for success:" list.
Benefits: from "What working at ACA offers:" list.
Pay: from "Salary Range: $180K-$200K Plus bonus". Also maybe mention competitive compensation package.
Schedule: none, omit.
We must not include duplicated lines. Ensure we preserve all substantive info.
Let's extract details.
First paragraph: "Location: Flexible, can be US remote The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients including those that advise private funds (i.e. hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.) and/or registered products (ETFs and/or mutual funds). The individual can take a leading role on complex projects. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff. The individual should also be open to serving as an outsourced chief compliance officer (“oCCO”) to clients. As an oCCO, the individual will be the named CCO for such clients and will be responsible for ensuring that the compliance program is carried out in accordance with regulatory requirements and best practices."
We'll put that in About the role.
Responsibilities (What you’ll do): list items:
- 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.
- Liaising 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).
- 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 (To qualify for the role you must have):
- 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.)
- Executive presence – a professional who interacts effortlessly with regulators and high-profile clients.
Qualifications (Ideally, you’ll also have):
- 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.
- Highly 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." This could be part of Responsibilities or Skills; but we already have supervisory in Responsibilities. Might be redundant; we can include as part of Responsibilities but we already have "Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity." So we can skip duplicate.
Benefits (What working at ACA offers):
- Competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business.
- Total Rewards package includes medical and dental coverage, 401(k) plans, and a wide range of paid time off options as well as a flexible work environment.
- 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.
Pay:
- Salary Range: $180K-$200K Plus bonus.
We might also mention competitive compensation package already in Benefits; but Pay section separate.
We must not include schedule.
Now produce HTML fragment with headings and content.
We need to avoid markdown fences. Just raw HTML.
Let's craft.
We'll have:
About the role
Location: Flexible, can be US remote. The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients including those that advise private funds (i.e. hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.) and/or registered products (ETFs and/or mutual funds). The individual can take a leading role on complex projects. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff. The individual should also be open to serving as an outsourced chief compliance officer (“oCCO”) to clients. As an oCCO, the individual will be the named CCO for such clients and will be responsible for ensuring that the compliance program is carried out in accordance with 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, 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.
- Liaising 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).
- 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 the following:
- (i) an examiner or attorney with the U.S. SEC, NFA
for prose. We must preserve all substantive info, not invent or summarize away detail. Must not include boilerplate like EEO, etc. Remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. The posting includes some EEO statement at end; we should drop that. Also drop "What we commit to:" maybe considered EEO? It's nondiscrimination policy; we should drop. Also drop "About ACA:" maybe considered boilerplate? It's description of company; might be considered substantive? The instruction: remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. "About ACA:" is not exactly those, but could be considered company overview; maybe keep? It's not a required section heading; we could incorporate into About the role? The instruction: Use
for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). So we could have an About the role section that includes description of role and maybe company overview. But we must not invent or summarize away detail. We can include the description of role from first paragraph: "Location: Flexible, can be US remote The individual in this position is responsible for participating in mock regulatory examinations..." etc. That's substantive. We'll put that in About the role.
Responsibilities: from "What you’ll do:" bullet list.
Requirements: from "To qualify for the role you must have:" plus maybe "Executive presence – a professional who interacts effortlessly with regulators and high-profile clients." That's a qualification.
Qualifications: maybe "Ideally, you’ll also have: Major or concentration..." plus "Supervisory experience." Could be separate Qualifications.
Skills: from "Skills and attributes for success:" list.
Benefits: from "What working at ACA offers:" list.
Pay: from "Salary Range: $180K-$200K Plus bonus". Also maybe mention competitive compensation package.
Schedule: none, omit.
We must not include duplicated lines. Ensure we preserve all substantive info.
Let's extract details.
First paragraph: "Location: Flexible, can be US remote The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients including those that advise private funds (i.e. hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.) and/or registered products (ETFs and/or mutual funds). The individual can take a leading role on complex projects. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff. The individual should also be open to serving as an outsourced chief compliance officer (“oCCO”) to clients. As an oCCO, the individual will be the named CCO for such clients and will be responsible for ensuring that the compliance program is carried out in accordance with regulatory requirements and best practices."
We'll put that in About the role.
Responsibilities (What you’ll do): list items:
- 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.
- Liaising 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).
- 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 (To qualify for the role you must have):
- 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.)
- Executive presence – a professional who interacts effortlessly with regulators and high-profile clients.
Qualifications (Ideally, you’ll also have):
- 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.
- Highly 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." This could be part of Responsibilities or Skills; but we already have supervisory in Responsibilities. Might be redundant; we can include as part of Responsibilities but we already have "Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity." So we can skip duplicate.
Benefits (What working at ACA offers):
- Competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business.
- Total Rewards package includes medical and dental coverage, 401(k) plans, and a wide range of paid time off options as well as a flexible work environment.
- 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.
Pay:
- Salary Range: $180K-$200K Plus bonus.
We might also mention competitive compensation package already in Benefits; but Pay section separate.
We must not include schedule.
Now produce HTML fragment with headings and content.
We need to avoid markdown fences. Just raw HTML.
Let's craft.
We'll have:
About the role
About the role
Location: Flexible, can be US remote. The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients including those that advise private funds (i.e. hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.) and/or registered products (ETFs and/or mutual funds). The individual can take a leading role on complex projects. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff. The individual should also be open to serving as an outsourced chief compliance officer (“oCCO”) to clients. As an oCCO, the individual will be the named CCO for such clients and will be responsible for ensuring that the compliance program is carried out in accordance with 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, 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.
- Liaising 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).
- 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 the following:
- (i) an examiner or attorney with the U.S. SEC, NFA