Senior Principal Consultant

This is a fully remote position, open to applicants in Alabama, +42 more states.

📋 Description

• Lead or support mock regulatory examinations and compliance program evaluations.

• Prepare document requests, analyze documents, conduct interviews, and compose reports.

• Supervise and review the contributions of project team members.

• Conduct thorough review work for ACA’s most significant and complex clients.

• Direct, coordinate, and consolidate the efforts of colleagues during evaluations.

• Offer regulatory consulting services, including regulatory submissions, forensic testing, policy and procedure assessments, marketing material evaluations, compliance guidance, issue recognition, and resolution recommendations.

• Proactively and profitably manage client relationships and projects.

• Provide expert insights and ensure an exceptional client experience.

• Collaborate with finance, sales, and legal teams.

• Identify, manage, or assist with special projects and internal initiatives.

• Write articles for industry publications.

• Engage in sales activities.

• Conduct or supervise compliance research efforts.

• Prepare, manage, or deliver training sessions and presentations for both internal staff and clients.

• Oversee, train, assess, and provide constructive feedback to junior team members.

• Execute ad-hoc client and internal special projects.

• Act as an outsourced chief compliance officer (oCCO) for clients when necessary.

⛳️ Requirements

• Bachelor’s degree.

• 8 years of industry experience; alternatively, a minimum of 6 years including qualifying experience as an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, another regulatory authority, or as a compliance analyst or consultant with ACA or a similar consulting firm.

• Advanced understanding of applicable federal securities laws and related rules and regulatory positions.

• Executive presence with the ability to engage with regulators and prominent clients.

• Proven professional integrity.

• Capability to exercise discretion and make independent decisions on critical matters.

• Ability to thrive in a fast-paced individual and small team environment.

• Skill in establishing and maintaining effective working relationships.

• Strong organizational and problem-solving abilities with a keen attention to detail.

• Excellent oral and written communication skills.

• Proficient in Microsoft Office applications.

• Comfort in a tech-enabled setting with a grasp of web-based technology applications.

• Willingness to travel.

🏝️ Benefits

• Medical coverage.

• Dental coverage.

• 401(k) plans.

• Paid time off options.

• ACA Paid Holidays.

• Summer Fridays.

• Personal/Family Care leave.

• Additional leaves of absence.

• Flexible work environment.

• Student Debt Forgiveness.

• Pet Insurance.

• Performance-based compensation.

• Bonus.