ACA Group
Senior Principal Consultant
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Senior Principal Consultant
Compliance Associate (Senior) – US Remote or Flexible Location
Location: Flexible (US remote)
The individual in this senior compliance role is responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting compliance reports and manuals, and providing expertise and advice to clients—including those advising private funds (e.g., hedge funds, private equity, real estate, private credit, venture capital, infrastructure) and/or registered products (e.g., ETFs, mutual funds). The ideal candidate can take a leading role on complex projects, build client relationships, and oversee onboarding and development of junior staff.
Additionally, the role actively supports clients by serving as an outsourced chief compliance officer (oCCO), where the individual will act as the named CCO, ensuring compliance programs align with regulatory requirements and industry best practices.
Key Responsibilities
Regulatory and Compliance Work
- Lead or assist in mock regulatory examinations and compliance program reviews, including:
- Preparing document requests
- Reviewing documentation
- Conducting interviews
- Drafting reports
- Overseeing project team members
- Perform comprehensive reviews of ACA’s largest and most complex clients, guiding and coordinating colleague work to ensure thorough evaluations.
Client Consulting and Support
- Provide regulatory consulting services, such as:
- Drafting and submitting regulatory filings
- Conducting forensic testing
- Reviewing policies, procedures, and marketing materials
- Addressing compliance-related inquiries from clients
- Identifying potential compliance issues and proposing resolutions
- Manage assigned client relationships and projects proactively, delivering expert advice and ensuring a superior client experience.
- Collaborate with internal teams (e.g., finance, sales, legal) to meet client needs and safeguard the account as the designated owner.
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Special Projects and Internal Initiatives
- Identify, manage, and support ACA’s special projects, including:
- Drafting articles for industry publications
- Participating in sales efforts
- Conducting or overseeing research on compliance issues
- Preparing, overseeing, and delivering internal/client training or presentations
- Take on ad-hoc tasks to support client and internal initiatives.
Supervisory and Leadership Duties
- Formally supervise, train, evaluate, and mentor junior colleagues in a supervisory and project management capacity, providing constructive feedback.
- Foster growth through professional development and ensure high-quality standards across the team.
Requirements
Essential Qualifications
- Bachelor’s degree in any field (preferably compliance, law, business, accounting, finance, or economics).
- 8 years of industry experience in compliance, or 6 years with a combination of:
- Experience as an examiner or attorney with U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority.
- Or compliance analyst or consultant experience with ACA or a comparable firm.
- Advanced knowledge of federal securities laws and associated rules (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
- Strong executive presence, capable of interacting professionally with regulators and high-profile clients.
Desirable Qualifications
- Master’s degree or advanced certification in compliance, law, or finance.
- Prior supervisory experience.
- Experience in private fund compliance, hedge fund compliance, or registered fund compliance.
Skills and Attributes
- Professional integrity and ethical judgment.
- Dependability, flexibility, and adaptability to new initiatives.
- Ability to make independent, well-informed judgments.
- Team collaboration skills in fast-paced environments.
- Strong relationship-building capabilities with colleagues and clients.
- Proactive mindset, initiative, and commitment to self-development.
- High attention to detail, organizational strength, and problem-solving skills.
- Exceptional written and verbal communication (multi-disciplinary audiences).
- Proficient with Microsoft Office tools and comfortable with tech-enabled workflows.
- Willingness to travel occasionally.
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Supervisory Duties Summary
- Direct supervision, mentorship, and evaluation of junior associates.
Benefits
ACA offers a competitive Total Rewards package, including:
-
Competitive compensation ($180K–$200K base** + bonus**) based on performance.
-
Comprehensive benefits:
- Medical, dental, and vision coverage
- 401(k) with employer match
- Flexible Paid-Time-Off policies, including:
- Summer Fridays
- Personal/Family Care
-
Supportive work environment encouraging well-being, including:
- Designated Paid Holidays
- Student Debt Forgiveness assistance
- Pet Insurance
About ACA Group
ACA is a leading governance, risk, and compliance (GRC) advisor in financial services, empowering clients to transform and protect their businesses. Our integrated approach combines consulting, managed services, and cutting-edge technology (ComplianceAlpha®) with expertise from former regulators and industry practitioners.
ACA is committed to a culture of inclusion, ensuring equal opportunity without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or veteran status, in compliance with all applicable laws.
Join us to shape the future of compliance—where regulation meets innovation.
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