Senior Principal Consultant, AML

The Opportunity:

The individual in this position serves as the supervisor, relationship manager, account owner, or engagement lead for certain ACA managed services clients. Senior Principal Consultants have supervisory, training, and/or subject matter expertise responsibilities in addition to their expertise and support on managed services engagements. Senior Principal Consultants are expected to maintain up-to-date knowledge regarding the regulations, best practices, and nuances associated with the products and services they engage in. The ideal candidate will reside in or San Francisco or Los Angeles.

What you’ll do:

• Facilitate, lead, and/or participate in managed services projects with other supervisors, relationship managers, account owners, and/or project leads
• Manage more complex and/or difficult client relationships with respect to managed services projects and services, as well as engage with other ACA account owners and relationship managers to ensure excellent client service
• Working with Managed Services business unit to ensure staffing utilization, profitability, and other KPI are within expectations
• Train new staff on regulations, policies, and procedures in one-on-one and small group settings 
• Oversee client relationships, including onboarding new clients, setting scope and workflow expectations, communicating findings, tracking budgets, reviewing invoices, answering questions, and ensuring client expectations and contractual obligations are met 
• Draft and finalize reports summarizing ACA’s work and findings, and review drafts prepared by analysts
• Manage and support thought leadership and other initiatives to promote ACA’s sales and marketing efforts
• Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity
• Identify, manage, and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales meetings; conducting or overseeing research on compliance issues; preparing, overseeing the preparation of, and/or delivering internal or client training and/or presentations)
• Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives including, but not limited to:
  • Analyst training
  • Public speaking engagements
  • Attend conferences and roundtable events
  • Onsite client engagements

To qualify for the role you must have:

• Bachelor’s degree
• At least six years of industry experience serving in a regulatory compliance role. 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) an 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). 
• 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, 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.

Skills and attributes for success:

• Familiarity with FINRA’s Web CRD system and related forms as well as general understanding common business software systems
• In-depth understanding of SEC, FINRA and state rules that govern broker-dealer, office and representative supervision
• Experienced user of standard office and regulatory software preferred
• Excellent written and verbal communication skills
• Strong interpersonal and collaboration skills
• Ability to prioritize workload and meet multiple deadlines with limited supervision
• Ability to understand, interpret and communicate rules and regulations
• Ability to skillfully interact with clients
• High attention to detail
• Sharing knowledge with junior team members

Ideally, you’ll also have:

• Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred

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.