Senior Principal Consultant, Chief Compliance Officer

This is a fully remote position, open to applicants in New York.

📋 Description

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

• Prepare document requests, review materials, conduct interviews, and compile reports.

• Supervise and assess the work of project team members.

• Execute comprehensive reviews for large and complex clients.

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

• Offer regulatory consulting services, including regulatory filings, forensic testing, policy and procedure assessments, marketing-material reviews, compliance guidance, and issue resolution.

• Manage client relationships and projects in a proactive and profitable manner.

• Provide expert counsel and ensure an exceptional client experience.

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

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

• Write articles for industry publications.

• Engage in sales activities and conduct or oversee compliance research.

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

• Oversee, mentor, evaluate, and provide feedback to junior team members.

• Execute ad hoc tasks and special projects as needed.

• Act as an outsourced chief compliance officer, serving as the designated CCO and ensuring clients’ compliance programs adhere to regulatory standards and best practices.

⛳️ Requirements

• Bachelor’s degree.

• 8 years of industry experience.

• Alternatively, a minimum of 6 years of experience that may include: 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 associated rules and regulatory positions.

• Possess an executive presence and the ability to interact effectively with regulators and prominent clients.

• Supervisory experience is preferred.

• Proven professional integrity.

• Reliable, flexible, and adaptable to new initiatives and evolving client needs.

• Capable of exercising discretion and making independent decisions on important matters.

• Ability to thrive in a fast-paced environment, whether independently or within a small team.

• Competent in establishing and maintaining effective working relationships.

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

• Excellent oral and written communication abilities.

• Proficient in Microsoft Office applications.

• Comfortable working in a technology-driven environment.

• Familiarity with web-based technology applications.

• Willingness to contribute ideas for enhancements and new solutions.

• Openness to travel as required.

🏝️ Benefits

• Medical and dental insurance coverage.

• 401(k) retirement plans.

• A wide range of paid time off options.

• Flexible work environment.

• ACA Paid Holidays.

• Summer Fridays.

• Personal/Family Care leave.

• Various leaves of absence.

• Student Debt Forgiveness program.

• Pet Insurance.

• Performance-based compensation and recognition.