Senior Principal Consultant, (Chief Compliance Officer)

Overview

Location: Flexible — US remote

This position 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. Clients may include those that advise 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). The role may lead complex projects and includes developing and overseeing client relationships and junior staff.

The role may also involve serving as an outsourced chief compliance officer ("oCCO") for clients. In that capacity, you would be the named CCO and ensure 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 the organization’s largest and most complicated clients, including guiding, coordinating, and consolidating work across colleagues during these reviews
• Provide regulatory consulting services as needed, such as:
  • Drafting and submitting regulatory filings
  • Conducting forensic testing
  • Reviewing policies, procedures, 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 strong 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 other 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, and/or delivering internal or client training and/or 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 the organization 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 comfort interacting with regulators and high-profile clients

Preferred Qualifications

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

Compensation & Benefits

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

Location

Flexible — US remote

Additional Notes

• Nondiscrimination policy 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.
• Employees must have no expectation of privacy in any message, files, data, documents, or communications transmitted to, received from, printed from, or stored or recorded while utilizing organization systems, software, and data.