Senior Principal Consultant, (Chief Compliance Officer)

Overview

Location: Flexible; US remote

This role supports mock regulatory examinations and compliance program reviews, assists with policy and procedure reviews, drafts reports and manuals to promote compliance with regulatory requirements, and provides compliance assistance and advice to clients. Coverage includes clients advising private funds (e.g., hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure) and/or registered products (ETFs and/or mutual funds). The position may lead complex projects and supports client relationship development, including development and oversight of junior staff.

The role may also include serving as an outsourced chief compliance officer (“oCCO”) for clients. In that capacity, the individual serves as the named CCO and ensures the compliance program is carried out in accordance with regulatory requirements and best practices.

Responsibilities

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews, including:
  • Preparing document requests
  • Reviewing documents
  • Conducting interviews
  • Drafting reports
  • Overseeing and reviewing the work of project team members
• Perform broad-scope work during reviews of large and complex clients, including guiding, coordinating, and consolidating work of colleagues during reviews.
• Provide regulatory consulting services as needed, including:
  • 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
  • Identifying compliance-related issues and proposing resolutions
• Manage assigned client relationships and projects proactively and profitably by:
  • Providing expert advice and delivering a superior client experience
  • Liaising with internal departments (finance, sales, legal) as the designated account owner
  • Responding to client questions and needs in a timely manner
  • Ensuring colleagues supporting shared accounts do the same
• Identify, manage, and/or support special projects and internal initiatives, such as:
  • Drafting articles for industry publications
  • Participating in sales
  • Conducting or overseeing research on compliance issues
  • Preparing, overseeing preparation of, and/or delivering internal or client training and/or presentations
• Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project management capacity.
• Perform ad-hoc work and special projects as necessary to support client and internal initiatives.

Requirements

• Bachelor’s degree.
• 8 years of industry experience. Alternatively, at least 6 years of experience that includes some combination of:
  • (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 comparable consulting organization.
• Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder, including:
  • 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, including the ability to interact effectively with regulators and high-profile clients.

Preferred Qualifications

• Major or concentration in compliance, law, business, accounting, finance, and/or economics.
• Supervisory experience.

Skills and Attributes for Success

• Demonstrated professional integrity.
• Dependable, flexible, and adaptable to new initiatives and changing client needs.
• Ability to exercise discretion and make independent judgments on matters of significance.
• Ability to work in a fast-paced environment with individual and small-team responsibilities.
• Ability to establish and maintain effective working relationships with colleagues and clients.
• Highly motivated and goal-oriented; proactive in education and career progression; initiative on internal and external projects and tasks.
• Commitment to upholding 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, including understanding web-based technology applications and willingness to provide input for enhancements and new solutions.
• Willingness to travel.

Supervisory Duties Summary

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

Compensation & Benefits

• Salary Range: $180K–$200K plus bonus
• Medical and dental coverage
• 401(k) plans
• Paid time off options
• Flexible work environment
• Time off for designated paid holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed
• Student Debt Forgiveness
• Pet Insurance

Additional Information

A policy of nondiscrimination 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.

Notice: Anyone using, storing, sharing, or transmitting information with or through employer devices or systems should have no expectation of privacy in any messages, files, data, documents, facsimiles, telephone conversations, conversations, messages, or any other information or communications transmitted to, received from, printed from, or stored or recorded while utilizing employer systems, software, and data.