Adviser Compliance Associates LLC Principal Consultant -(IA) in New York, New York
In the role of Principal Consultant, you will be responsible for regulatory compliance consulting. This position is typically focused on 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.
ACA'S Regulatory Compliance practice provides consulting, advisory and managed services solutions to our clients in the Financial Services sector. As trusted advisors, our team plays an integral role in helping our global clients comply with their regulatory obligations, meet the expectations of their investors and apply leading industry practices and technology.
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), including leading the project and reviewing the work of project team members
Perform a broad scope of work during reviews of clients of average complexity, 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, and answering compliance-related questions from clients)
Manage and support assigned client relationships, including addressing questions and needs
Manage and support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct research on compliance issues, draft or assist with internal or client training and/or presentations)
Mentor, train, evaluate, oversee, and provide feedback to junior colleagues
Participate in ad-hoc work/special projects as necessary to support the business on various client service and product development initiatives
To qualify for the role you must have:
At least 5 years of industry experience. Alternatively, at least 3 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
Skills and attributes for success:
Dependable, flexible, and adaptable to new initiatives and ever-changing client needs
Motivated to deliver the highest standards of client service
Ability to work well in a fast-paced environment and able to collaborate with multiple colleagues/groups to deliver client engagements
Ability to work independently, multi-task and prioritize effectively
Proactive in one's own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks
Strong oral and written communication skills
Willing to travel - up to 25 percent (after COVID)
Ideally, you'll also have
Willingness to travel - up to 50% (post-COVID environment)
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, 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.