Director, Filings

The Director, Regulatory Filings, is a highly visible leader who will shape the strategy, performance, and continued growth of our Regulatory Filings practice. This leader will oversee end-to-end delivery of regulatory filing services, building a scalable, high-performing operation known for exceptional quality, disciplined risk management, and an outstanding client experience.

We are looking for a proven leader with deep regulatory filings expertise, a passion for building high-performing teams, and a track record of driving meaningful change in complex, fast-paced environments. The ideal candidate pairs technical credibility with sharp business judgment and can confidently balance operational performance, client needs, and commercial priorities.

Accountable for:

• Regulatory filings expertise – maintaining strong technical knowledge on various regulatory filings including Section 13 filings, Form ADV, Form PF, Form N-PX, and Annex IV.
• Operational excellence – ensuring the team meets utilization and other operating metrics.
• People & capability development – building supervisor bench strength, partnering with staffing, and continuously developing the team’s subject matter expertise and client relationship management skills.
• Process compliance & improvement – enforcing standards, identifying efficiency gains, and partnering with strategy and operations personnel to implement changes.
• Client delivery performance – ensuring consistent service to clients and addressing and resolving escalations.
• Resource planning & forecasting – collaborating with staffing leads to anticipate demand, balance workload and plan headcount.

What you’ll do:  

• Lead the service line to consistently achieve—and raise the bar on—key operational targets, including utilization, turnaround times, on-time filings, and quality.
• Build a strong leadership pipeline by coaching supervisors and team members, delivering continuous feedback, and establishing training programs that accelerate growth and deepen expertise.
• Champion consistent process standards and compliance while identifying opportunities to simplify work, increase efficiency, and partner with strategy and operations personnel to implement lasting improvements.
• Own client delivery performance, resolve escalations with urgency, and strengthen client trust through consistent, high-quality service.
• Partner with staffing leads to anticipate demand, balance workloads, and build a forward-looking headcount plan that positions the team for growth.
• Lead cross-functional initiatives that transform service delivery, expand scalability, and create a consistently exceptional client experience. 

To Qualify for the role, you will have:  

• Bachelor’s degree in business, operations, or related field required; advanced degree preferred.
• At least eight years of experience in regulatory operations, compliance services, or adjacent professional services, supported by deep regulatory filings expertise.
• Demonstrated success leading teams through restructuring, transformation, or operating model changes while sustaining service quality and team engagement.
• Experience leading high-volume, recurring regulatory filings across multiple regulatory bodies, with hands-on knowledge of filing platforms, regulatory portals, and RegTech tools.
• Experience scaling filing operations while maintaining accuracy and timeliness.
• Demonstrated accountability for client filing outcomes, including clear communication regarding delays, defects, and regulatory updates.
• Proven success building and leading high-performing teams, strengthening operational discipline, and delivering measurable process improvements.
• Experience in resource planning and client delivery management in a complex environment.

Skills and Attributes for Success:  

• An inspiring, accountable leadership style that develops talent, builds trust, and creates high-performing teams.
• Clear, confident communication and the ability to influence clients, team members, and senior stakeholders.
• A data-driven mindset and the ability to turn operational insights into practical, scalable process improvements.
• Proficiency in resource planning and forecasting.
• Sound judgment and composure under pressure, with the ability to resolve escalations quickly while protecting client trust.
• Leads the responsible adoption of AI and emerging technologies to improve the efficiency, scalability, quality, and consistency of regulatory filing processes while maintaining appropriate regulatory oversight and risk management.

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 medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

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.