Senior Principal Consultant

This role will be based out of one of our office locations (New York City/Tri-State, Boston (opening 2025), Pittsburgh, Chattanooga, Portland Maine and Medford Oregon. You will work on a hybrid schedule with two days a week in the office.

 

The Opportunity:

The Senior Principal Consultant/Outsourced Chief Compliance Officer is responsible for Investment Advisor compliance clients, particularly RIAs managing private funds and/or registered products (ETFs and/or mutual funds),and provides those clients with expert advice and guidance related to the design and implementation of their compliance programs.

 

What you’ll do:

• Serve as the outsourced chief compliance officer for RIA compliance clients. Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements
• Provide clear, focused, and practical guidance to clients based on SEC regulations
• Conduct (scheduled and ad hoc) conference calls and online meetings with client executives to deliver guidance and advice with respect to regulatory best practices
• Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar)
• Liaise with Fund CCOs and compliance staff, assisting the RIA with periodic Fund compliance questionnaires and certifications
• Conduct annual 206(4)-7 examinations
• Lead and coach clients through SEC regulatory exams
• Maintain firm records (calendars, project workflows, and status updates), accounting records, and time reporting
• Assist clients with compliance questions and other needs
• Use creative thinking to brainstorm new services that add value to client relationships
• Assisting in enhancing internal workflow and processes
• Produce and deliver externally focused compliance content (e.g. webinars, research notes, white papers)
• Attend conferences and meetings as requested
• Conduct self in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
• Other tasks and projects as assigned

 

 

To qualify for the role you must have:

• Minimum six (6) years of Investment Adviser Compliance Experience (consulting or in-house), experience with registered product and/or private funds is required
• Advanced knowledge of the Investment Advisers Act of 1940 and state laws, knowledge of the Investment Company Act of 1940 is a plus
• Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
• Excellent oral and written communication skills
• Detail-oriented and multi-task capability
• Independent Self-Starter – the ability to organize workload and meet deadlines
• Service orientation with proven ability to provide superior customer service
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
• Ability to work both independently and as part of a team
• Customer-focused attitude
• Time management and organization skills, with a strong attention to detail
• Strong written communication and oral communication 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 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.
• Prof