Adviser Compliance Associates LLC Principal Consultant - Broker Dealer in New York, New York
The individual in this position is responsible for participating in and leading mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff.
What you'll do:
Lead or assist in all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports).
Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports), including overseeing and reviewing the work of project team members.
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, and 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, including providing expert advice and an excellent client experience, as well as monitoring profitability and accounts receivable. Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients' questions and needs in a timely manner 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, participate in sales, conduct or oversee research on compliance issues, prepare, oversee the preparation of, and/or deliver 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.
To qualify for the role you must have:
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.
Ideally, you will also have:
Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred.
Skills and attributes for success:
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; pro-active 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.
What working at ACA offers:
We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes medical and dental coverage and 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You'll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.
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 ComplianceAlphatechnology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
What we commit to:
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.
ACA is an equal opportunity employer that values diversity. We conduct our business without regard to actual or perceived age, race, color, religion, disability, caregiver, marital or partnership status, pregnancy (including childbirth, breastfeeding, or related medical conditions), ancestry, national origin and citizenship, sex, gender identity and expression, sexual orientation, sexual and reproductive health decisions, military or veteran status, creed, genetic predisposition, carrier status or any other category protected by federal, state and local law. ACA is firmly committed to a policy of non discrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, recall, transfers, leaves of absence, compensation and all other terms and conditions of employment. Here at ACA, we have created a variety of programs to promote ACA’s culture of inclusivity and work hard to ensure that all of our employees have an equal opportunity to contribute to ACA and feel that ACA is exactly where they belong.