Senior Principal Consultant

The Opportunity:

 

The individual in this position serves as the supervisor, relationship manager, account owner, or engagement lead for certain ACA managed services clients. Senior Principal Consultants have supervisory, training, and/or subject matter expertise responsibilities in addition to their expertise and support on managed services engagements. Senior Principal Consultants are expected to maintain up-to-date knowledge regarding the regulations, best practices, and nuances associated with the products and services they engage in. The ideal candidate will reside in or San Francisco or Los Angeles.

 

What you’ll do:

• Facilitate, lead, and/or participate in managed services projects with other supervisors, relationship managers, account owners, and/or project leads
• Manage more complex and/or difficult client relationships with respect to managed services projects and services, as well as engage with other ACA account owners and relationship managers to ensure excellent client service
• Working with Managed Services business unit to ensure staffing utilization, profitability, and other KPI are within expectations
• Train new staff on regulations, policies, and procedures in one-on-one and small group settings 
• Oversee client relationships, including onboarding new clients, setting scope and workflow expectations, communicating findings, tracking budgets, reviewing invoices, answering questions, and ensuring client expectations and contractual obligations are met 
• Draft and finalize reports summarizing ACA’s work and findings, and review drafts prepared by analysts
• Manage and support thought leadership and other initiatives to promote ACA’s sales and marketing efforts
• Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity
• Identify, manage, and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales meetings; conducting or overseeing research on compliance issues; preparing, overseeing the preparation of, and/or delivering internal or client training and/or presentations)
• Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives including, but not limited to:
  • Analyst training
  • Public speaking engagements
  • Attend conferences and roundtable events
  • Onsite client engagements

 

To qualify for the role you must have:

• Bachelor’s degree
• At least six years of industry experience serving in a regulatory compliance role. 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) an analyst or consultant with ACA or a consulting organization comparable to ACA
• Strong working knowledge of relevant federal securities laws and asso