ACA Group
SEC Regulatory Compliance Consultant
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The Opportunity:
The individual joining this role will be part of ACA’s SEC Regulatory Consulting team based in the London office. The position involves participating in mock regulatory examinations and compliance programme reviews, supporting policy and procedure assessments, drafting reports and compliance manuals aligned with US regulatory requirements, and providing regulatory compliance advice and ongoing support to clients.
Work Location: 2 days/Week in our London Office (11 Strand)
What you’ll do:
- Lead or assist in all aspects of mock regulatory examinations and compliance programme reviews (e.g., reviewing documents, conducting interviews, and drafting reports)
- Perform a broad scope of work during reviews of clients of basic complexity, and to coordinate and consolidate the work of colleagues during these reviews
- Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, and answering compliance-related questions from clients)
- Provide support for ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct research on compliance issues, draft or assist with internal or client training and/or presentations)
- Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives
To qualify for the role you must have:
- 6+ years of industry experience. Alternatively, at least 4 years as a consultant with a consulting organization comparable to ACA;
- Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., 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, preferably in a related field
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Ideally, you’ll also have:
- Investment Management Certificate, CISI Diploma in Investment Compliance or similar. Supervisory experience
Skills and attributes for success:
- Demonstrated professional integrity.
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
- Ability to exercise discretion and make independent judgments commensurate with role.
- Ability to work in a fast-paced small team environment
- Ability to establish and maintain effective working relationships with colleagues and clients.
- Highly motivated and goal oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
- Dedicated to upholding ACA’s high-quality standards and customer service focus.
- Strong organizational and problem-solving skills with attention to detail
- Strong oral and written communication skills
- Proficient with Microsoft Office applications and Adobe Acrobat and comfortable working in a tech enabled environment.
What working at ACA offers:
We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering.
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About ACA:
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
What we commit to:
ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.
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