Principal Consultant

The Opportunity: 

The individual in this position is responsible for providing overall compliance assistance and advice to wealth manager clients including investment advisers who may also provide pension consulting or advise private funds. Responsibilities also include participating in and leading mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, and drafting reports and manuals that promote compliance with regulatory requirements. The individual in this position is also responsible for the development of client relationships and the development and oversight of ACA junior staff.

This role can be cased out of New York, Pittsburgh, Chattanooga, Portland/Maine, Boston, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, Dallas, Houston, Raleigh NC, Columbus OH, Atlanta, and the DC Metro area

What you’ll do: 

• Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, marketing materials, and other compliance documents, answering compliance-related questions from clients, as well as identifying compliance-related issues and proposing resolutions). 
• Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a positive client experience. Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients’ questions and needs promptly and ensuring that colleagues contributing to shared accounts do the same. 
• Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports). 
• Perform a broad scope of work during reviews of clients with a typical level of scale and complexity for ACA’s client base, and guide, coordinate, and consolidate the work of colleagues during these reviews. 
• Identify, manage, and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales, conducting or overseeing research on compliance issues, preparing, overseeing the preparation of, and/or delivery of internal or client training and/or presentations). 
• 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. 

To qualify for the role you must have: 

• Bachelor’s degree. 
• 6 years of compliance industry experience. Alternatively, at least 4 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA. 
• Strong working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Commodity Exchange Act of 1936, Commodity Futures Trading Commission Act of 1974). 

Ideally, you’ll also have: 

• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.  
• Supervisory experience.
• Experience with Form ADV, IARD. 

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 on matters of significance. 
• 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 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 comfortable working in a tech-enabled environment.  Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions. 
• Willing to travel. 

Supervisory duties summary: 

• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues. 

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 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 businesses. 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 protected veteran status, or any other legally protected basis, by applicable law.