Senior Principal Consultant

🕒 July 23

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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 mock regulatory examinations and compliance program reviews, including preparing document requests, reviewing documents, conducting interviews, drafting reports, and overseeing project team members • Perform broad-scope reviews for ACA’s largest and most complicated clients; guide, coordinate, and consolidate colleagues’ work • Provide regulatory consulting services, including preparing and submitting regulatory filings, forensic testing, reviewing policies, procedures, marketing materials, and compliance documents, answering client questions, identifying compliance issues, and proposing resolutions • Proactively and profitably manage assigned client relationships and projects • Provide expert advice and deliver a superior client experience • Liaise with finance, sales, legal, and other internal departments for designated accounts • Respond to client questions and needs promptly and coordinate colleagues on shared accounts • Identify, manage, and support special projects and internal initiatives • Draft industry-publication articles, participate in sales, conduct or oversee compliance research, and prepare or deliver training and presentations • Supervise, train, evaluate, oversee, and provide feedback to colleagues as supervisor and project manager • Perform ad-hoc work and special projects supporting client and internal initiatives • Serve as an outsourced chief compliance officer for clients when appropriate and ensure their 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 work as an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, another regulatory authority, or as a compliance analyst or consultant with ACA or a comparable consulting organization • Advanced knowledge of relevant federal securities laws, rules, and regulatory positions, including the Investment Advisers Act, Investment Company Act, Securities Exchange Act, Commodity Exchange Act, and Commodity Futures Trading Commission Act • Executive presence and ability to interact professionally with regulators and high-profile clients • Supervisory experience preferred • Demonstrated professional integrity • Dependability, flexibility, and adaptability 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 relationships with colleagues and clients • Motivation, goal orientation, initiative, and proactive career development • Commitment to ACA’s quality standards and customer-service focus • Strong organizational, problem-solving, and attention-to-detail skills • Strong oral and written communication skills • Proficiency with Microsoft Office applications • Comfort working in a technology-enabled environment • Understanding of web-based technology applications and willingness to contribute to enhancements and new solutions • Willingness to travel

🏖️ Benefits

• Competitive compensation package with performance-based rewards • Medical coverage • 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 supporting physical, financial, and emotional well-being • Student Debt Forgiveness • Pet Insurance • Bonus