Private Fund Compliance - Consultant

Highly preferred locations:  New York, Pittsburgh, Chattanooga, Portland/Maine, Boston, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, Dallas or Houston.

 

The Opportunity: 

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.). 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., preparing document requests, reviewing documents, conducting interviews, and drafting reports). 
• Perform a broad scope of work during reviews of clients of varying complexity, and 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, and answering compliance-related questions from clients). 
• Support or manage assigned client relationships, including addressing questions and needs. 
• Supervise, train, evaluate, oversee, and/or provide feedback to junior staff, as assigned. 
• Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales, conducting research on compliance issues, drafting or assisting with internal or client training and/or presentations). 
• 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. 
• At least 4 years of industry experience. Alternatively, at least 2 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. 
• General working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder relevant to the role (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, law, business, accounting, finance, and/or economics preferred. 

 

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.