Senior Principal Consultant, (Chief Compliance Officer)

Overview

Location: Flexible, can be US remote

This role supports mock regulatory examinations and compliance program reviews. Responsibilities include 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 clients that advise private funds such as hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure, etc., and/or registered products such as ETFs and/or mutual funds). The position may involve leading complex projects, developing and maintaining client relationships, and developing and overseeing junior staff.

The role also includes the opportunity to serve as an outsourced chief compliance officer (“oCCO”). In an oCCO capacity, the individual is the named CCO and is responsible for ensuring the client’s 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 work of project team members
• Perform broad-scope work during reviews for the organization’s largest and most complicated clients, guiding, coordinating, and consolidating colleague efforts.
• 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, including providing expert advice and delivering a superior client experience.
  • Liaise with internal departments (finance, sales, legal) when serving as the designated account owner, including responding to client questions and needs in a timely manner and ensuring colleagues on 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, and/or delivering internal or client training and presentations
• Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
• Perform ad-hoc work and special projects 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 the organization or a consulting organization comparable to the 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 interacting 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 and small team setting.
• 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; demonstrates initiative on internal and external projects and tasks.
• Dedicated to upholding high-quality standards and a 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.

Compensation & Benefits

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

Location & Work Authorization/Non-Discrimination

This role is flexible and can be US remote.

The organization is committed to a policy of nondiscrimination in recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation, and all other terms and conditions of employment, and provides 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.

Privacy Notice

Individuals using, storing, sharing, or transmitting information with or through the organization’s devices or systems should have no expectation of privacy in any message, files, data, documents, facsimiles, telephone conversations, conversations, messages, or any other kind of information or communications transmitted to, received from, printed from, or stored or recorded while utilizing the organization’s systems, software, and data.