Adviser Compliance Associates LLC Principal Consultant (Broker Dealer) in New York, New York
This position is responsible for servicing our compliance consulting clients, which include broker-dealers, investment advisers, hedge funds and private equity firms.
What you'll do:
Provide consulting to our broker dealer clients
Perform CCO duties and functions - specifically onsite consulting, providing direct CCO level support, conducting exams, customizing policies and procedures and leading clients in maintaining best in class compliance programs
Complete onsite examinations, testing and other onsite client visits as required
Assist with business development by providing technical expertise and industry knowledge
Assist with webinars, conferences, newsletters, blogs, and other publications
Conduct oneself in a professional manner
Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
Potentially being named as CCO on form BD (outsourced CCO)
Thorough use of CRM system to document work product
Other tasks and projects as assigned
To qualify for the role you must have:
10+ years related industry experience
Must hold Series 7 and 24 licenses
Ideally, you'll also have:
Previous experience with a regulatory agency preferred (SEC, FINRA or state)
Bachelor's degree, preferably in a related field
Skills and attributes for success:
Advanced knowledge of Federal and State securities regulation and interpretation
Ability to keep abreast of rules, regulations and current issues impacting our clients and to be able to disseminate this information to clients
Ability to travel, with responsibility for servicing clients located across a wide geographic area
Proven ability to work within company established workflows and collaborate with team on refinements to internal procedures
Self-starter and ability to organize workload and meet deadlines
Ability to handle multiple priorities efficiently
Advanced working knowledge of computer systems, database systems, paperless data retention and email
Team player mentality. Willing to do what it takes to get the job done
Strong relationship management skills and executive presence
Strong time management and organization skills with a strong attention to detail
Strong written communication and oral communication skills and ability to interface with all levels of management
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.