Senior Principal Consultant

The individual in this position is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients. The individual can take a leading role on complex projects. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff. 

What you’ll do: 

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports), including overseeing and reviewing the work of project team members. 

• Perform a broad scope of work during reviews of ACA’s largest and most complicated clients, and to guide, coordinate and consolidate the work of colleagues during these reviews. 

• Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, answering compliance-related questions from clients, as well as identifying compliance-related issues and proposing resolutions). 

• Complete onsite examinations, testing and other onsite client visits as required 

• 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 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. 

• Identify, manage and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct or oversee research on compliance issues, prepare, oversee the preparation of, and/or deliver internal or client training and/or presentations). 

• Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity 

• Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives  

• Assist with business development by providing technical expertise and industry knowledge 

• Assist with webinars, conferences, newsletters, blogs, and other publications 

• Conduct oneself in a professional manner 

• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies 

To qualify for the role you must have: 

• 10+ years related industry experience 

Ideally, you’ll also have: 

• Previous experience with a regulatory agency preferred (SEC, FINRA or state) 

• Bachelor’s degree, preferably in a related field 

Skills and attributes for success: 

• Advanced knowledge of Federal and State securities regulation and interpretation  

• Ability to keep abreast of rules, regulations and current issues impacting our clients and to be able to disseminate this information to clients 

• Ability to travel, with responsibility for servicing clients located across a wide geographic area 

• Proven ability to work within company established workflows and collaborate with team on refinements to internal procedures 

• Customer-focused attitude 

• Self-starter and ability to organize workload and meet deadlines  

• Ability to handle multiple priorities efficiently 

• Advanced working knowledge of computer systems, database systems,  paperless data retention and email 

• Team player mentality. Willing to do what it takes to get the job done 

• Strong relationship management skills and executive presence 

• Strong time management and organization skills with a strong attention to detail 

• Strong written communication and oral communication skills and ability to interface with all levels of 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.