Senior Principal Consultant, Chief Compliance Officer

🕒 3 days ago

🗽 New York – Remote

🗽 New York – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

👻 Ghost score 11%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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ACA Group

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2002

💼 Consulting

🏢 Enterprise

👥 HR Tech

Consulting • Enterprise • HR Tech

ACA Group is a global team of innovative professionals dedicated to delivering exceptional services and experiences. They focus on providing talented individuals with opportunities to enhance their careers within an award-winning company. Their website emphasizes user experience and encourages prospective employees to explore job openings, highlighting their commitment to a diverse, inclusive workforce.

📋 Description

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews • Prepare document requests, review documents, conduct interviews, and draft reports • Oversee and review project team members’ work • Perform broad-scope reviews for large and complex clients • Guide, coordinate, and consolidate colleagues’ work during reviews • Provide regulatory consulting services, including regulatory filings, forensic testing, policy and procedure reviews, marketing-material reviews, compliance advice, and issue resolution • Manage client relationships and projects proactively and profitably • Provide expert advice and deliver a superior client experience • Liaise with finance, sales, and legal departments as designated account owner • Identify, manage, and support special projects and internal initiatives • Draft industry-publication articles • Participate in sales and conduct or oversee compliance research • Prepare, oversee, and deliver internal or client training and presentations • Supervise, train, evaluate, oversee, and provide feedback to junior colleagues • Perform ad hoc work and special projects • Serve as an outsourced chief compliance officer, acting as the named CCO and ensuring clients’ compliance programs follow regulatory requirements and best practices

🎯 Requirements

• Bachelor’s degree • 8 years of industry experience • Alternatively, at least 6 years of experience including some combination of: examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority; or compliance analyst or consultant with ACA or a comparable consulting organization • Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions • Executive presence and ability to interact with regulators and high-profile clients • Supervisory experience preferred • Demonstrated professional integrity • Dependable, flexible, and adaptable to new initiatives and changing client needs • Ability to exercise discretion and make independent judgments on significant matters • Ability to work in a fast-paced individual and small-team environment • Ability to establish and maintain effective working relationships • Strong organizational and problem-solving skills with attention to detail • Strong oral and written communication skills • Proficiency with Microsoft Office applications • Comfort working in a tech-enabled environment • Understanding of web-based technology applications • Willingness to provide input on enhancements and new solutions • Willingness to travel

🏖️ Benefits

• Medical and dental coverage • 401(k) plans • Wide range of paid time off options • Flexible work environment • ACA Paid Holidays • Summer Fridays • Personal/Family Care leave • Other leaves of absence • Student Debt Forgiveness • Pet Insurance • Performance-based compensation and recognition