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Adviser Compliance Associates LLC Principal Consultant in New York, New York


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
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

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

Bachelor's Degree

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

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, pension 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
About ACA:

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.