Senior Principal Consultant, Chief Compliance Officer

ACA Group

Senior Principal Consultant serving as outsourced CCO for ACA Group’s financial-services GRC clients. Leading compliance reviews, regulatory consulting, client relationships, and junior-staff supervision.

Posted 8/21/2026full-timeRemote • Alabama, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Idaho, Illinois, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Minnesota, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming • 🇺🇸 United StatesSenior💰 $180,000 - $200,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates advanced knowledge of federal securities laws and regulatory compliance, with a strong ability to manage client relationships and deliver expert consulting services. Proficient in conducting regulatory examinations, drafting reports, and providing training while maintaining professional integrity and effective communication.

Highest-signal resume keywords

Regulatory ComplianceFederal Securities LawsClient Relationship ManagementSupervisory ExperienceForensic Testing

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ConsultingDocument ReviewCompliance ResearchDrafting Regulatory FilingsPolicy ReviewForensic TestingTraining and PresentationsProject ManagementProblem-SolvingAttention to Detail

Soft Skills

Executive PresenceProfessional IntegrityDependabilityFlexibilityStrong Communication Skills

Tools & Technologies

Microsoft Office ApplicationsWeb-Based Technology Applications

Industry Keywords

Compliance Program ReviewsMock Regulatory ExaminationsU.S. SECNFACFTCFINRACompliance AnalystConsulting OrganizationClient ExperienceRegulatory Authority

About the role

Key responsibilities & impact

Lead or assist all aspects of mock regulatory examinations and compliance program reviews
Prepare document requests, review documents, conduct interviews, and draft reports
Oversee and review project team members’ work
Perform broad review work for ACA’s largest and most complicated clients
Guide, coordinate, and consolidate colleagues’ work during reviews
Provide regulatory consulting services, including drafting and submitting regulatory filings
Conduct forensic testing
Review policies, procedures, marketing materials, and other compliance documents
Answer clients’ compliance-related questions
Identify compliance issues and propose resolutions
Proactively and profitably manage assigned client relationships and projects
Provide expert advice and deliver a superior client experience
Liaise with finance, sales, and legal departments as designated account owner
Identify, manage, and/or support special projects and internal initiatives
Draft industry-publication articles and participate in sales
Conduct or oversee compliance research
Prepare, oversee, and/or deliver internal or client training and presentations
Supervise, train, evaluate, oversee, and provide feedback to junior colleagues
Perform ad-hoc client and internal special projects
Serve as an outsourced chief compliance officer, acting as the named CCO and ensuring clients’ compliance programs follow regulatory requirements and best practices

Requirements

What you’ll need

Bachelor’s degree
8 years of industry experience
Alternatively, at least 6 years of experience including some combination of: examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, or another regulatory authority; or compliance analyst or consultant with ACA or a comparable consulting organization
Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions
Executive presence and ability to interact with regulators and high-profile clients
Supervisory experience preferred
Professional integrity
Dependable, flexible, and adaptable to new initiatives and changing client needs
Ability to exercise discretion and make independent judgments on significant matters
Ability to work in a fast-paced individual and small-team environment
Ability to establish and maintain effective working relationships with colleagues and clients
Highly motivated and goal-oriented; proactive in education and career progression
Strong organizational and problem-solving skills with attention to detail
Strong oral and written communication skills
Proficient with Microsoft Office applications
Comfortable working in a tech-enabled environment
Understanding of web-based technology applications and willingness to provide input on enhancements and new solutions
Willing to travel

Benefits

Comp & perks

Medical and dental coverage
401(k) plans
Paid time off options
ACA Paid Holidays
Summer Fridays
Personal/Family Care leave
Other leaves of absence supporting physical, financial, and emotional well-being
Student Debt Forgiveness
Pet Insurance
Flexible work environment
Performance-based compensation and recognition