Senior Principal Consultant – OCCO

This is a fully remote position, open to applicants in California, +11 more states.

📋 Description

• Engage in mock regulatory examinations and reviews of compliance programs.

• Lead or support examinations and reviews, which encompass document requests, document analysis, interviews, report writing, and supervision of project team members.

• Conduct comprehensive work for large and intricate clients while coordinating and consolidating the efforts of colleagues.

• Offer regulatory consulting services, including regulatory submissions, forensic analysis, policy and procedure assessments, marketing material evaluations, compliance guidance, issue identification, and proposals for resolution.

• Act as an outsourced chief compliance officer for clients, ensuring that compliance programs align with regulatory standards and best practices.

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

• Provide expert insights and ensure an exceptional client experience.

• Collaborate with finance, sales, and legal departments.

• Identify, manage, and support special projects and internal initiatives.

• Write industry articles, engage in sales activities, conduct or supervise compliance research, and prepare or deliver training sessions and presentations.

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

• Undertake ad-hoc client and internal special projects.

⛳️ Requirements

• Bachelor's degree.

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

• In-depth knowledge of applicable federal securities laws alongside relevant rules and regulatory positions.

• Executive presence with the capability to interact with regulators and high-profile clients.

• Supervisory experience is preferred.

• Strong professional integrity.

• Dependability, flexibility, and adaptability are essential.

• Ability to exercise discretion and make independent decisions.

• Capacity to thrive in a fast-paced environment, both individually and within small teams.

• Skill in establishing and maintaining effective working relationships.

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

• Strong verbal and written communication skills.

• Proficiency in Microsoft Office applications.

• Comfort in a tech-enabled setting and understanding of web-based technology applications.

• Willingness to travel.

🏝️ Benefits

• Medical coverage.

• Dental coverage.

• 401(k) plans.

• Paid time off options.

• Flexible work environment.

• ACA Paid Holidays.

• Summer Fridays.

• Personal/Family Care leave.

• Additional leaves of absence.

• Student Debt Forgiveness.

• Pet Insurance.

• Discretionary bonus.