Wealth Mgt Compliance - 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 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 who 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 in complex projects. The individual in this position is also responsible for the development of client relationships and the 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 by regulatory requirements and best practices.  

 

What you’ll do: 

 

• 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, 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 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). 
• 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. 

 

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/o