ACA Group

Consultant

• Participate in mock regulatory examinations and compliance program reviews
• Assist with policy and procedure reviews
• Draft reports and manuals for compliance
• Provide compliance assistance to clients including private funds and registered products
• Take a leading role on complex projects
• Develop client relationships and oversee ACA junior staff
• Serve as an outsourced chief compliance officer for clients
• Manage assigned client relationships and projects proactively

Senior Principal Consultant

• Ensure the regulatory compliance of team assigned fund and advisory clients’ marketing materials for ACA’s most complex clients
• Use independent judgment to ensure client materials comply with regulatory requirements
• Work with multiple groups within other departments, clients, and regulatory agencies
• Review and approve investment company and/or private placement material to ensure compliance
• Escalate client issues to Senior Principal Consultant
• Interact with ACA clients, regulatory contacts, and staff concerning advertising review matters
• Monitor compliance and stay current on regulations
• Train client staff as appropriate
• Ensure team processes workflow in a timely manner to meet service levels
• Participate in client onboarding meetings

Senior Principal Consultant

Consultant, MR-Distributor