Senior Principal Consultant

Role overview

Responsibilities

• Lead or assist mock regulatory examinations and compliance program reviews, including document requests, review, interviews, and report drafting.
• Oversee project team members and coordinate complex reviews.
• Provide consulting such as regulatory filings, forensic testing, policy and marketing-material reviews, compliance advice, and issue resolution.
• Manage client relationships and projects; coordinate with internal departments as account owner.
• Support special projects, research, articles, sales, training, and presentations.
• Supervise, train, evaluate, and provide feedback to colleagues.

Required qualifications

• Bachelor’s degree.
• Eight years of industry experience, or six years including qualifying regulatory examiner/attorney or compliance analyst/consultant experience.
• Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions.
• Professional presence when interacting with regulators and high-profile clients.
• Strong organization, problem-solving, communication, integrity, and independent judgment.
• Microsoft Office proficiency and comfort with web-based technology.
• Willingness to travel.

Preferred qualifications

• A major or concentration in compliance, law, business, accounting, finance, or economics is preferred.
• Supervisory experience is preferred.

Location and work arrangement

• The description says the role is flexible and can be US remote.

Compensation

• Estimated total yearly compensation is $180,000–$200,000 plus bonus.

Benefits

• Benefits include medical and dental coverage, 401(k), paid time off, flexible work environment, student debt forgiveness, and pet insurance.

About ACA Group