Principal Consultant

The Opportunity:

The individual in this position is responsible for participating in and leading 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, venture capital, infrastructure, etc.). The individual in this position is also responsible for the development of client relationships and the development and oversight of ACA junior staff.

 

What you’ll do:

• Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports).
• Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., 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 clients with a typical level of scale and complexity for ACA’s client base, 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, 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, including providing expert advice and an excellent client experience, as well as monitoring profitability and accounts receivable. Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients’ questions and needs promptly 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, participating in sales, conducting or overseeing research on compliance issues, preparing, overseeing the preparation of, and/or delivering internal or client training and/or presentations).
• 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.

 

To qualify for the role you must have:

• Bachelor’s degree.
• 6 years of industry experience. Alternatively, at least 4 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.
• Strong working 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.

 

Ideally, you’ll also have:

• Major or concentration in compliance, criminal justice, 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 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.
• Willing to travel.

 

Supervisory duties summary:

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

 

What working at ACA offers:

 

We offer a competitive compensation package whe