UK Regulatory Principal Consultant

The Opportunity: 

The individual in this position is responsible for participating in and overseeing our delivery of on-going compliance support relationships, periodic on-site FCA-reviews and other significant and complex regulatory projects for our clients. The individual may take a lead role depending on the complexity and/or scale of the project. The individual may be asked to assist with certain leadership or management tasks, or certain strategic initiatives. The individual will play a role in maintaining and enhancing the delivery of the firm’s products and services, ensuring high levels of client service and demonstrating technical competence across a range of compliance areas applicable to our clients. The individual is also responsible for the development and maintenance of client relationships and the progression and oversight of other ACA staff. 

What you’ll do: 

• Lead or assist the delivery of FCA-compliance reviews and other regulatory projects (e.g., reviewing documents, assisting with the conduct of interviews and drafting reports).
• Provide regulatory consulting services to clients as needed (e.g. creating drafts of and assisting clients with the submission of non-financial regulatory filings, conducting (or assisting with) the conduct of compliance monitoring, reviewing policies, procedures, marketing materials and other compliance documents, answering compliance-related questions from clients and delivering client training sessions).
• Demonstrating a commercial awareness such that additional ACA Group services can be promoted for the benefit of clients where appropriate (via referrals to dedicated sales representatives)
• Manage assigned client relationships and projects proactively, including providing expert advice and an excellent client experience, as well as monitoring profitability and accounts receivable.
• Liaising with other Form Last Revised: September 2021 Page 2 of 3 internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients’ questions and needs in a timely manner and ensuring that colleagues contributing to shared accounts do the same.
• Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications or speaking at events/on webcasts, conduct research on compliance issues, draft or assist with internal presentations. Active participation in Key Regulatory Initiatives).
• Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity. 7. May serve on key internal management-level working groups such as the Technical Working Group or the Customer Experience Programme. 

To qualify for the role you must have: 

• Strong academic background (i.e. degree level or recognized professional qualification)
• 6 years of industry experience. Alternatively, at least 4 years’ experience that includes some combination of the following: (i) employment with the Financial Conduct Authority or (ii) in an Analyst or Consultant role with ACA or an equivalent role with a consulting organisation comparable to ACA
• Strong working knowledge of the Financial Services and Markets Act 2000 (as amended), the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance. 

Ideally, you’ll also have: 

• Investment Management Certificate, CISI Diploma in Investment Compliance or similar. Supervisory experience

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 commensurate with role.
• Ability to work in a fast-paced small team environment 5. Ability to establish and maintain effective working relationships with colleagues and clients.
• Highly motivated and goal oriented; pro-active 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
• Proficient with Microsoft Office applications and Adobe Acrobat and comfortable working in a tech enabled environment. 

What working at ACA offers: 

We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering.  

About ACA: 

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape. 

What we commit to: 

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.