Senior Principal Consultant, (Chief Compliance Officer)
ACA Group · New York, United States · 1 mo ago
LegalFull-time
We need to output HTML fragment with sections: About the role? The posting includes description of responsibilities, qualifications, etc. We need to use for section headings: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections that have real specific content. We must not repeat job title. No Job ID etc. Remove boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, application instructions. Also remove the privacy note? That's legal boilerplate; should be removed. Also remove the "What we commit to:" EEO statement. Also remove the "Please note that everyone using..." privacy note. Also remove "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 categories; it's company overview. Might be okay to keep? But we need to decide if we include as a section. The allowed headings are limited; we could put company overview under "About the role"? Actually "About the role" is for role description. Could also include "About ACA" as maybe not a standard heading; but we only allowed those headings. So we should not create extra headings beyond those. So we should incorporate company overview maybe into a paragraph under "About the role" or maybe omit if not needed. The instruction: "Prefer a few substantive sections over many thin ones." So we can combine.
We need to preserve all substantive information: responsibilities, qualifications, skills, benefits, pay, schedule? Schedule not mentioned; flexible remote. Could infer schedule? Not given. So we should not create Schedule section unless posting actually states it. It mentions "Flexible, can be US remote" under Location. That's location, not schedule. No explicit schedule. So we omit Schedule.
Pay: Salary Range: $180K-$200K plus bonus. That's specific, so include Pay section.
Benefits: "We offer a competitive compensation package... 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. 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. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance." That's benefits. Include Benefits section.
Qualifications: The posting has "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. Ideally, you’ll also have: Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred. Supervisory experience." That's qualifications.
Skills: "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." That's skills.
Responsibilities: The bullet list under "What you’ll do:" includes many items. Also earlier paragraph describing role. We'll combine into Responsibilities.
About the role: Could include the initial paragraph describing the role: "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." That's substantive.
We need to output HTML with
for section headings: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections that have real specific content. We must not repeat job title. No Job ID etc. Remove boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, application instructions. Also remove the privacy note? That's legal boilerplate; should be removed. Also remove the "What we commit to:" EEO statement. Also remove the "Please note that everyone using..." privacy note. Also remove "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 categories; it's company overview. Might be okay to keep? But we need to decide if we include as a section. The allowed headings are limited; we could put company overview under "About the role"? Actually "About the role" is for role description. Could also include "About ACA" as maybe not a standard heading; but we only allowed those headings. So we should not create extra headings beyond those. So we should incorporate company overview maybe into a paragraph under "About the role" or maybe omit if not needed. The instruction: "Prefer a few substantive sections over many thin ones." So we can combine.
We need to preserve all substantive information: responsibilities, qualifications, skills, benefits, pay, schedule? Schedule not mentioned; flexible remote. Could infer schedule? Not given. So we should not create Schedule section unless posting actually states it. It mentions "Flexible, can be US remote" under Location. That's location, not schedule. No explicit schedule. So we omit Schedule.
Pay: Salary Range: $180K-$200K plus bonus. That's specific, so include Pay section.
Benefits: "We offer a competitive compensation package... 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. 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. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance." That's benefits. Include Benefits section.
Qualifications: The posting has "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. Ideally, you’ll also have: Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred. Supervisory experience." That's qualifications.
Skills: "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." That's skills.
Responsibilities: The bullet list under "What you’ll do:" includes many items. Also earlier paragraph describing role. We'll combine into Responsibilities.
About the role: Could include the initial paragraph describing the role: "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." That's substantive.
We need to output HTML with headings and - for lists,
for prose.
We must not include duplicated lines. Ensure we don't repeat same content.
We'll structure:
About the role
... (the paragraph)
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
Maybe combine qualifications? The instruction includes Requirements and Qualifications as separate possible headings. We have qualifications content; we could put under Requirements or Qualifications. Since both are allowed, we need to decide. The posting says "To qualify for the role you must have:" then lists qualifications. Also "Ideally, you’ll also have:" etc. That's qualifications. We could put under Qualifications. Requirements maybe minimal? Could combine. To avoid thin sections, we could put all qualification-related content under Qualifications. Then we might not need Requirements. But we need to include sections only when posting has real specific content. We have qualifications content, so we can have Qualifications section. We could also have Requirements if we want to separate mandatory vs preferred. But we risk thin sections. Better to have one Qualifications section covering both mandatory and preferred.
Thus:
Qualifications
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. Ideally, you’ll also have: Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred. Supervisory experience.
But we might want to split into for list items? The content includes sentences; we could keep as . It's okay.
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 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.
Benefits
We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our 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. 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. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
Pay
Salary Range: $180K-$200K plus bonus
We should not include Schedule.
Check for any duplicated lines: Ensure we didn't repeat the "Supervisory Duties Summary" etc. We included supervisory duties in Responsibilities (formally supervise...). Also there is a separate "Supervisory Duties Summary Supervise, train, evaluate, oversee, and provide feedback to junior colleagues." That's duplicate; we should not include duplicate. We already have supervisory in responsibilities; we can omit the separate summary.
Also we need to remove the "What working at ACA offers:" we turned into Benefits. Good.
Remove the "About ACA:" paragraph and "What we commit to:" EEO and privacy note.
Check for any leftover boilerplate: The location line "Location: Flexible, can
- for lists,
for prose. We must not include duplicated lines. Ensure we don't repeat same content. We'll structure:
About the role
... (the paragraph)
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
Maybe combine qualifications? The instruction includes Requirements and Qualifications as separate possible headings. We have qualifications content; we could put under Requirements or Qualifications. Since both are allowed, we need to decide. The posting says "To qualify for the role you must have:" then lists qualifications. Also "Ideally, you’ll also have:" etc. That's qualifications. We could put under Qualifications. Requirements maybe minimal? Could combine. To avoid thin sections, we could put all qualification-related content under Qualifications. Then we might not need Requirements. But we need to include sections only when posting has real specific content. We have qualifications content, so we can have Qualifications section. We could also have Requirements if we want to separate mandatory vs preferred. But we risk thin sections. Better to have one Qualifications section covering both mandatory and preferred. Thus:Qualifications
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. Ideally, you’ll also have: Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred. Supervisory experience.
But we might want to split into- for list items? The content includes sentences; we could keep as
- 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.
. It's okay.
Skills
Benefits
We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our 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. 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. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
Pay
Salary Range: $180K-$200K plus bonus
We should not include Schedule. Check for any duplicated lines: Ensure we didn't repeat the "Supervisory Duties Summary" etc. We included supervisory duties in Responsibilities (formally supervise...). Also there is a separate "Supervisory Duties Summary Supervise, train, evaluate, oversee, and provide feedback to junior colleagues." That's duplicate; we should not include duplicate. We already have supervisory in responsibilities; we can omit the separate summary. Also we need to remove the "What working at ACA offers:" we turned into Benefits. Good. Remove the "About ACA:" paragraph and "What we commit to:" EEO and privacy note. Check for any leftover boilerplate: The location line "Location: Flexible, can