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ACA Group · 9 hours ago

Principal Consultant

Medford, OR

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 Principal Consultant will lead and assist in regulatory examinations and compliance program reviews, provide consulting services, and manage client relationships while supervising junior staff.

ConsultingCyber SecurityFinancial Services

Responsibilities

Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., preparing document requests, reviewing documents, conducting interviews, and drafting reports)

Perform a broad scope of work during reviews of clients with a typical level of scale and complexity for ACA’s client base, and to guide, coordinate, and consolidate the work of colleagues during these reviews

Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, marketing materials, and other compliance documents, answering compliance-related questions from clients, as well as identifying compliance-related issues and proposing resolutions)

Manage assigned client relationships and projects proactively and profitably, including providing expert advice and delivering a positive client experience. Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients’ questions and needs promptly and ensuring that colleagues contributing to shared accounts do the same

Identify, manage, and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales, conducting or overseeing research on compliance issues, preparing, overseeing the preparation of, 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/special projects as necessary to support ACA on various client and internal initiatives

Qualification

Regulatory complianceFederal securities lawsClient relationship managementSupervisory experienceCompliance program reviewsMicrosoft Office proficiencyCommunication skillsProblem-solving skillsOrganizational skillsAdaptability

Required

Bachelor's degree

6 years of industry experience. Alternatively, at least 4 years of experience that includes some combination of the following: (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 consulting organization comparable to ACA

Strong working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (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)

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 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