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About the Role

This role involves participating in regulatory examinations and compliance reviews, assisting with policy development, and providing compliance advice to clients in the private funds and registered products sectors. The individual may lead complex projects, develop client relationships, and oversee junior staff. The role also includes the possibility of serving as an outsourced Chief Compliance Officer (oCCO), responsible for ensuring client compliance programs meet regulatory requirements and best practices.

Responsibilities

Lead or assist in mock regulatory examinations and compliance program reviews, including document requests, document review, interviews, and report drafting.
Oversee and review the work of project team members.
Perform a broad scope of work during reviews of ACA’s largest and most complicated clients.
Guide, coordinate, and consolidate the work of colleagues during client reviews.
Provide regulatory consulting services, including drafting and submitting regulatory filings.
Conduct forensic testing, review policies, procedures, and marketing materials.
Answer compliance-related questions from clients and identify/resolve compliance issues.
Manage assigned client relationships and projects proactively and profitably.
Provide expert advice and deliver a superior client experience.
Liaise with internal departments (finance, sales, legal) as the designated account owner.
Respond to clients’ questions and needs in a timely manner.
Identify, manage, and/or support ACA special projects and internal initiatives.
Draft articles for industry publications.
Participate in sales activities.
Conduct or oversee research on compliance issues.
Prepare, oversee the preparation of, and/or deliver internal or client training and/or presentations.
Formally supervise, train, evaluate, oversee, and provide feedback to colleagues.
Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives.
Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.

Requirements

Bachelor’s degree.
8 years of industry experience.
Alternatively, at least 6 years of experience that includes some combination of the following: an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority, or 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 (e.g., 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 – a professional who interacts effortlessly with regulators and high-profile clients.

Skills

Demonstrated professional integrity.
Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
Ability to exercise discretion and make independent judgments on matters of significance.
Ability to work 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 one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
Dedicated to upholding ACA’s 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.
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.

Location

Flexible, US remote

Work Type

Full-time

Experience Level

8 years of industry experience
6 years of experience with regulatory authority or compliance consulting

Education Level

Bachelor's degree
Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred
Supervisory experience

Salary/Compensations

$180K-$200K Plus bonus

Benefits

Competitive compensation package
Rewarded based on performance
Recognized for value brought to the business
Medical and dental coverage
401(k) plans
Wide range of paid time off options
Flexible work environment
Time off for designated ACA Paid Holidays
Summer Fridays
Personal/Family Care leave
Other leaves of absence
Student Debt Forgiveness
Pet Insurance

About the Company

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services.
We empower our clients to reimagine GRC and protect and grow their business.
Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

Equal Opportunity

ACA is firmly committed to a policy of nondiscrimination, which 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.