Senior Principal Consultant, (Chief Compliance Officer)

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Senior Principal Consultant, (Chief Compliance Officer)

Location: New York, NY, US IL, US TX, US CA, US FL, US Chattanooga, TN, US MA, US Pittsburgh, PA, US Durham, NC, US Portland, ME, US

Company: ACA Group

Location: Flexible

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 including those that advise private funds (i.e. hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc.) and/or registered products (ETFs and/or mutual funds). 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.

The individual should also be open to serving asanoutsourced chief compliance officer(“oCCO”)to clients. As anoCCO, the individualwill bethe namedCCO forsuchclients and willbe responsible forensuringthat the compliance program is carried outin accordance withregulatory requirements and best practices.

Whatyou’lldo:

• Lead orassistall aspects of mock regulatory examinations and compliance program reviews (e.g.,preparing document requests,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 andconsolidatethe 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).
• Manage assigned client relationships and projects proactivelyand profitably, includingprovidingexpert advice anddeliveringasuperiorclient experience. Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients’ questions and needsin a timely mannerand 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,conductor 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.

To qualify for theroleyou must have:

8 years of industry experience. Alternatively, at least 6 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.

Advancedknowledge 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.)

Executive presence – a professional who interacts effortlessly with regulators and high-profile clients.

Ideally,you’llalso have:

Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.

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 on matters of significance.
• Ability to work in a fast-pacedindividual andsmall team environment.
• Ability toestablishand 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 ofweb-based technology applications and willingness to provide input in enhancements andnew solutions.
• Willingto 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 whereyou’llbe 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’llalso 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 specializedexpertiseof former regulators and practitioners and our deep understanding of the global regulatory landscape.

What we commit to:

ACA isfirmly committedto 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 withapplicable law.

The cash compensation range we have provided has been benchmarked against similar organizations of comparable size, sector, and age. Our offers of employment consider a variety of factors, including but not limited to, unique skill sets, specific expertise or certifications and business/organizational needs. It is not typical for us to hire talent at the top of the range for a role, in part because it’s so important to us to allow all ACA employees the opportunity to develop over time, and to feel rewarded for doing so. Our listed range is a reasonable estimate of the total yearly compensation.

Salary Range:$180,000-$200,000

Please note that everyone using,storing, sharing or transmitting information with or throughACA devicesor systems,should have no expectation of privacyin any message, files, data, document, facsimile, telephone conversation, conversation, message, or any other kind of information or communications transmitted to, receivedfrom, printed from, or stored or recorded while utilizing any ACA systems, software, and data.