ACA Group is a global professional services firm spanning consulting, enterprise services, and HR technology. Its careers site invites candidates to explore open roles and presents the company as a place to develop professionally, with an emphasis on a diverse and inclusive workforce.
Senior Principal Consultant, Outsourced Chief Compliance Officer
Advise financial services firms on governance, risk, and compliance as a Senior Principal Consultant. Lead regulatory reviews and outsourced CCO engagements while managing client relationships and guiding junior staff.
विवरण
- Take part in mock regulatory examinations and compliance program reviews.
- Lead or support examinations and reviews, from document requests and interviews to report drafting and project team oversight.
- Handle broad engagements for large, complex clients, coordinating and consolidating colleagues’ work.
- Advise clients on regulatory filings, forensic testing, policies and procedures, marketing materials, compliance issues, and potential resolutions.
- Act as an outsourced chief compliance officer, ensuring client programs meet regulatory requirements and industry best practices.
- Manage client relationships and projects with a proactive focus on results and profitability.
- Provide expert guidance and a strong client experience.
- Coordinate with finance, sales, and legal teams.
- Identify and support special projects and internal initiatives.
- Write industry articles, contribute to sales, conduct or oversee compliance research, and develop or deliver training and presentations.
- Supervise, train, assess, and guide junior colleagues, providing oversight and feedback.
- Take on ad hoc projects for clients and internal teams.
आवश्यकताएँ
- Hold a bachelor’s degree.
- Have at least 8 years of industry experience, or 6 years including qualifying experience as an examiner or attorney at the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority, or as a compliance analyst or consultant at ACA or a comparable consulting firm.
- Bring advanced knowledge of relevant federal securities laws, rules, and regulatory positions.
- Demonstrate executive presence and the ability to work with regulators and high-profile clients.
- Supervisory experience is preferred.
- Show professional integrity.
- Be dependable, flexible, and adaptable.
- Exercise discretion and make independent judgments.
- Work effectively in a fast-paced environment, independently and in small teams.
- Build and maintain effective working relationships.
- Bring strong organizational and problem-solving skills and attention to detail.
- Communicate effectively in writing and verbally.
- Be proficient with Microsoft Office applications.
- Be comfortable in a technology-enabled environment and familiar with web-based applications.
- Be willing to travel.
लाभ
- Medical coverage
- Dental coverage
- 401(k) plans
- Paid time off options
- Flexible work environment
- ACA paid holidays
- Summer Fridays
- Personal and family care leave
- Other leaves of absence
- Student debt forgiveness
- Pet insurance
- Discretionary bonus