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ACA Group · 10 hours ago

Senior Principal Consultant

New York, NY

Full-time

Hybrid

Senior Level, Lead/Staff

6+ years exp

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. The Senior Principal Consultant/Outsourced Chief Compliance Officer is responsible for providing expert advice and guidance to Investment Advisor compliance clients, particularly those managing private funds and registered products, ensuring their compliance programs meet SEC regulatory requirements.

ConsultingCyber SecurityFinancial Services

Responsibilities

Serve as the outsourced chief compliance officer for RIA compliance clients

Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements

Provide clear, focused, and practical guidance to clients based on SEC regulations

Conduct (scheduled and ad hoc) conference calls and online meetings with client executives to deliver guidance and advice with respect to regulatory best practices

Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar)

Liaise with Fund CCOs and compliance staff, assisting the RIA with periodic Fund compliance questionnaires and certifications

Conduct annual 206(4)-7 examinations

Lead and coach clients through SEC regulatory exams

Maintain firm records (calendars, project workflows, and status updates), accounting records, and time reporting

Assist clients with compliance questions and other needs

Use creative thinking to brainstorm new services that add value to client relationships

Assisting in enhancing internal workflow and processes

Produce and deliver externally focused compliance content (e.g. webinars, research notes, white papers)

Attend conferences and meetings as requested

Conduct self in a professional manner

Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies

Other tasks and projects as assigned

Qualification

Investment Adviser ComplianceInvestment Advisers Act of 1940Compliance Program DevelopmentSEC Regulatory KnowledgeMicrosoft Office ProficiencyCustomer Service OrientationCommunication SkillsDetail-orientedIndependent Self-StarterTime Management Skills

Required

Minimum six (6) years of Investment Adviser Compliance Experience (consulting or in-house), experience with registered product and/or private funds is required

Advanced knowledge of the Investment Advisers Act of 1940 and state laws, knowledge of the Investment Company Act of 1940 is a plus

Executive presence – a professional who interacts effortlessly with regulators and high-profile clients

Excellent oral and written communication skills

Detail-oriented and multi-task capability

Independent Self-Starter – the ability to organize workload and meet deadlines

Service orientation with proven ability to provide superior customer service

Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions

Ability to work both independently and as part of a team

Customer-focused attitude

Time management and organization skills, with a strong attention to detail

Strong written communication and oral communication 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 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 and comfortable working in a tech-enabled environment

Willing to travel

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