ACA Group
SEC Regulatory Compliance Consultant
How your CV stacks up
Upload your CV to see how well it fits this job role
?%
SEC Regulatory Consultant (Hybrid Role: London Office)
The individual joining this role will be part of ACA’s SEC Regulatory Consulting team based in the London office, with 2 days per week working at our office at 11 Strand.
About the Role
The SEC Regulatory Consultant will:
- Participate in mock regulatory examinations and compliance programme reviews
- Support policy and procedure assessments
- Draft regulatory reports and compliance manuals in line with US regulatory requirements
- Provide regulatory compliance advice and ongoing client support
Key Responsibilities
Regulatory Reviews & Examinations
- Lead or assist in all aspects of mock regulatory examinations and compliance programme reviews, including:
- Reviewing client documentation
- Conducting stakeholder interviews
- Drafting examination reports
Regulatory Consulting Services
- Perform client reviews for moderate-size entities (with basic complexity), including:
- Coordinating and consolidating work of team members
- Submitting regulatory filings (SEC, CFTC, etc.)
- Conducting forensic testing where needed
- Reviewing policies, procedures, marketing materials, and compliance documents
- Answering compliance-related client queries
Special Projects & Initiatives
- Support ACA’s special projects and internal initiatives, such as:
- Drafting articles for industry publications
- Participating in sales efforts to support ACA’s service lines
- Conducting research on emerging compliance issues
- Developing or assisting with internal/client training materials/presentations
Reasons to use Rodeo
Start with a chat, not a search bar
Grad scheme, placement, apprenticeship? Not sure what you want yet — that's fine. Your agent talks it through with you and turns "I have no idea" into a shortlist.
It searches the market for you
Every day your agent scans the market matching roles against what actually matters to you, not just keywords on a CV.
Only hits
No noise. No "maybe this fits." Just roles with a clear explanation of why they're right — and where to focus when applying.
Ad-Hoc Work
- Perform unexpected requirements to support ACA’s client and internal objectives.
Requirements
Essential Qualifications
- 6+ years of industry experience, or 4+ years as a consultant with firms of comparable size/scope to ACA
- Deep knowledge of key federal securities laws and regulations, including:
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- Securities Exchange Act of 1934
- Commodity Exchange Act of 1936
- Commodity Futures Trading Commission Act of 1974
- Bachelor’s degree in a related field (preferably finance, law, business, or compliance)
Desirable Attributes
- Industry-recognised certifications, such as:
- Investment Management Certificate
- CISI Diploma in Investment Compliance
- Supervisory experience (management or consultancy leadership)
Skills & Attributes
Core Competencies
- Professional integrity and ethical judgement in all interactions
- Adaptability and proactiveness in a fast-paced environment
- Strong decision-making capabilities
- Exceptional organisational skills and attention to detail
- Automated and technical aptitude (proficient with Microsoft Office, Excel, and Adobe Acrobat)
Soft Skills
- Strong oral/written communication to collaborate with internal teams and client stakeholders
- Ability to build and maintain effective working relationships
- Highly goal-oriented with a growth mindset; engagement in internal/external volunteer projects
- Commitment to ACA’s quality standards and client service orientation
What Working at ACA Offers
Get help with your application
Your very own career expert that helps elevate your application to the next level.
ACA’s Total Rewards package includes:
- Competitive salary with performance bonuses (annual discretionary bonus incentive)
- Pension contributions and selective retirement benefits
- Private medical insurance, group life coverage and income protection
- Corporate gym membership discount
- Season ticket loan scheme
- Employee Assistance Programme (confidential support services)
- Generous time off: 26 days annual holiday + statuatory bank holidays, work anniversary days, career development time, and volunteer leave
About ACA
ACA Group is the leading governance, risk, and compliance (GRC) advisory firm for financial services. Our purpose is to empower clients confronting complexity in GRC, mitigating risk while anticipating opportunities for business growth. ACA partners with firms of all sizes to integrate consulting experts, managed services, and innovative tech (the ComplianceAlpha® Platform), drawing on the experience of former regulators, practitioners, and global compliance specialists.
ACA’s Commitment
We uphold a policy of inclusive, equitable, and fair recruitment/employment practices, categorically prohibiting discrimination on any legally protected basis, including (but not limited to):
- Race
- Colour
- Religion or belief
- Sex, pregnancy, or maternity
- Gender identity and sexual orientation
- National origin and ethnicity
- Age/era
- Disability or long-term condition
- Veteran status
- Any other characteristic protected under applicable law or regulation
All qualified candidates will receive equitable consideration for employment in accordance with our values.
“It took my CV and asked me questions relevant to understanding what kind of jobs to suggest for me. Suggestions were almost perfect. Jobs were exactly what I’ve been looking for.”
Jessica, London
Skills
Location