Senior Principal Consultant, Chief Compliance Officer

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

📋 Description

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

• Prepare requests for documentation, assess documents, conduct interviews, and develop reports.

• Supervise and review the work of project team members.

• Execute extensive review work for ACA’s most complex and significant clients.

• Guide, coordinate, and unify colleagues’ efforts during evaluations.

• Offer regulatory consulting services, which include drafting and submitting regulatory filings.

• Perform forensic testing.

• Evaluate policies, procedures, marketing materials, and other compliance-related documents.

• Address clients’ compliance inquiries.

• Detect compliance issues and suggest solutions.

• Manage assigned client relationships and projects proactively and profitably.

• Provide expert guidance and ensure a superior client experience.

• Act as the designated account owner liaising with finance, sales, and legal departments.

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

• Write articles for industry publications and engage in sales activities.

• Conduct or supervise compliance research.

• Prepare, oversee, and/or deliver internal or client training sessions and presentations.

• Mentor, train, assess, supervise, and provide feedback to junior team members.

• Execute ad-hoc client and internal special projects.

• Serve as an outsourced chief compliance officer, acting as the designated CCO, ensuring that clients’ compliance programs adhere to regulatory requirements and best practices.

⛳️ Requirements

• Bachelor’s degree.

• 8 years of industry experience.

• Alternatively, a minimum of 6 years of experience that includes a combination of: examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory body; or compliance analyst or consultant with ACA or a similar consulting firm.

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

• Executive presence with the ability to engage with regulators and high-profile clients.

• Supervisory experience is preferred.

• Professional integrity.

• Dependable, flexible, and adaptable to new initiatives and shifting client requirements.

• Capacity to exercise discretion and make independent judgments on significant matters.

• Ability to operate effectively in a fast-paced environment, both individually and within small teams.

• Skill in establishing and maintaining effective working relationships with colleagues and clients.

• Highly motivated and goal-oriented; proactive regarding education and career advancement.

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

• Excellent oral and written communication skills.

• Proficient in Microsoft Office applications.

• Comfortable working in a technology-driven environment.

• Familiarity with web-based technology applications and a willingness to contribute ideas for improvements and new solutions.

• Willingness to travel.

🏝️ Benefits

• Medical and dental coverage.

• 401(k) plans.

• Paid time off options.

• ACA Paid Holidays.

• Summer Fridays.

• Personal/Family Care leave.

• Additional leaves of absence supporting physical, financial, and emotional well-being.

• Student Debt Forgiveness.

• Pet Insurance.

• Flexible work environment.

• Performance-based compensation and recognition.