Senior Principal Consultant, Chief Compliance Officer

🔥 0 minutes ago

🏈 Alabama, Arizona, +41 more states – Remote

🏈 Alabama – Remote 🌵 Arizona – Remote 🏄 California – Remote ⛰️ Colorado – Remote 🦌 Connecticut – Remote 🏛️ District of Columbia – Remote 🐊 Florida – Remote 🥔 Idaho – Remote 🌽 Illinois – Remote 🌾 Iowa – Remote 🌪️ Kansas – Remote 🐎 Kentucky – Remote ⚜️ Louisiana – Remote 🦞 Maine – Remote 🦬 Montana – Remote 🌾 Nebraska – Remote 🎰 Nevada – Remote 🗻 New Hampshire – Remote 🏖️ New Jersey – Remote 🌶️ New Mexico – Remote 🗽 New York – Remote 🌲 North Carolina – Remote 🌾 North Dakota – Remote 🏈 Ohio – Remote 🌪️ Oklahoma – Remote 🌲 Oregon – Remote 🦀 Maryland – Remote 🍂 Massachusetts – Remote 🚗 Michigan – Remote ❄️ Minnesota – Remote 🏰 Missouri – Remote 🔔 Pennsylvania – Remote ⚓ Rhode Island – Remote 🌴 South Carolina – Remote 🎸 Tennessee – Remote 🤠 Texas – Remote ⛷️ Utah – Remote 🍁 Vermont – Remote ⚔️ Virginia – Remote ☕ Washington – Remote ⛰️ West Virginia – Remote 🧀 Wisconsin – Remote 🦬 Wyoming – Remote

💵 $180k - $200k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

👻 Ghost score 0%

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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 review work for ACA’s largest and most complicated clients • Guide, coordinate, and consolidate colleagues’ work during reviews • Provide regulatory consulting services, including drafting and submitting regulatory filings • Conduct forensic testing • Review policies, procedures, marketing materials, and other compliance documents • Answer clients’ compliance-related questions • Identify compliance issues and propose resolutions • Proactively and profitably manage assigned client relationships and projects • Provide expert advice and deliver a superior client experience • Liaise with finance, sales, and legal departments as designated account owner • Identify, manage, and/or support special projects and internal initiatives • Draft industry-publication articles and participate in sales • Conduct or oversee compliance research • Prepare, oversee, and/or deliver internal or client training and presentations • Supervise, train, evaluate, oversee, and provide feedback to junior colleagues • Perform ad-hoc client and internal 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 • 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 with colleagues and clients • Highly motivated and goal-oriented; proactive in education and career progression • Strong organizational and problem-solving skills with attention to detail • Strong oral and written communication skills • Proficient with Microsoft Office applications • Comfortable working in a tech-enabled environment • Understanding of web-based technology applications and willingness to provide input on enhancements and new solutions • Willing to travel

🏖️ Benefits

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