Senior Principal Consultant, Chief Compliance Officer
ACA Group
full-time
Posted on:
Location Type: Hybrid
Location: Portland • California • Florida • United States
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Job Level
About the role
- Serve as the outsourced chief compliance officer for RIA compliance clients
- Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements
- Provide clear, focused, and practical guidance to clients based on SEC regulations
- Conduct (scheduled and ad hoc) conference calls and online meetings with client executives
- Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar)
- Liaise with Fund CCOs and compliance staff
- Conduct annual 206(4)-7 examinations
- Lead and coach clients through SEC regulatory exams
- Maintain firm records
- Assist clients with compliance questions and other needs
- Use creative thinking to brainstorm new services that add value to client relationships
- Produce and deliver externally focused compliance content (e.g. webinars, research notes, white papers)
- Attend conferences and meetings as requested
- Responsible for reporting to senior management
- Other tasks and projects as assigned
Requirements
- Minimum six (6) years of Investment Adviser Compliance Experience (consulting or in-house)
- experience with registered product and/or private funds
- Advanced knowledge of the Investment Advisers Act of 1940 and state laws
- knowledge of the Investment Company Act of 1940 is a plus
- Executive presence
- Excellent oral and written communication skills
- Detail-oriented and multi-task capability
- Independent Self-Starter
- Service orientation with proven ability to provide superior customer service
- Understanding of web-based technology applications
- Ability to work both independently and as part of a team
- Customer-focused attitude
- Time management and organization skills
- Strong written communication and oral communication skills
Benefits
- medical and dental coverage
- 401(k) plans
- paid time off options
- flexible work environment
- time off for designated ACA Paid Holidays
- Summer Fridays
- Personal/Family Care
- leaves of absence for physical, financial, and emotional well-being
- Student Debt Forgiveness
- Pet Insurance
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Investment Adviser ComplianceSEC regulatory requirementsForm ADV disclosuresrisk assessmentscompliance calendar206(4)-7 examinationsInvestment Advisers Act of 1940Investment Company Act of 1940
Soft Skills
executive presenceoral communicationwritten communicationdetail-orientedmulti-task capabilityindependent self-starterservice orientationcustomer servicetime managementorganizational skills