Senior Principal Consultant, (Chief Compliance Officer)

Overview

This role supports regulatory compliance and advisory services for clients in areas including private funds (e.g., hedge funds, private equity, real estate, private credit, credit, venture capital, infrastructure) and/or registered products (e.g., ETFs and/or mutual funds). Responsibilities include participating in mock regulatory examinations, reviewing compliance programs and policies, drafting compliance documentation, and providing compliance assistance and advice.

The position can be US remote and is flexible on location. The role may also serve as an outsourced chief compliance officer (“oCCO”) for clients, acting as the named CCO and ensuring compliance program execution 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 work across reviews of ACA’s largest and most complicated clients, guiding, coordinating, and consolidating colleagues’ efforts during these reviews.
• Provide regulatory consulting services as needed, including:
  • Creating drafts of and submitting regulatory filings
  • Conducting forensic testing
  • Reviewing policies, procedures, marketing materials, and other compliance documents
  • Answering compliance-related questions
  • 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
  • Liaising with internal departments (finance, sales, legal) as needed when serving as the designated account owner
  • Responding to client questions and needs in a timely manner
  • Ensuring colleagues supporting shared accounts also respond timely
• 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
• Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager 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, 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 comfort 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 changing client needs and new initiatives
• Ability to exercise discretion and make independent judgments on matters of significance
• Ability to work effectively in a fast-paced individual and small team environment
• Ability to establish and maintain effective working relationships with colleagues and clients
• Highly motivated and goal-oriented; proactive in ongoing education and career progression; shows initiative on internal and external projects and tasks
• Commitment to 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 and comfortable in a tech-enabled environment (including understanding web-based technology applications and willingness to provide input on enhancements and new solutions)
• Willing to travel

Compensation & Benefits

• Salary Range: $180K-$200K plus bonus
• Competitive compensation package based on performance
• Total Rewards package including:
  • Medical and dental coverage
  • 401(k) plans
  • Paid time off options, including:
    • Designated paid holidays
    • Summer Fridays
    • Personal/Family Care
    • Other leaves of absence when needed
  • Student Debt Forgiveness
  • Pet Insurance

Location

• Flexible, US remote