Senior Principal Consultant; Chief Compliance Officer

The Opportunity

The Senior Principal Consultant/Outsourced Chief Compliance Officer is responsible for Investment Adviser compliance clients, particularly RIAs managing private funds and/or registered products (ETFs and/or mutual funds), and provides those clients with expert advice and guidance related to the design and implementation of their compliance programs. This role can be based out of New York, Pittsburgh, Chattanooga, Portland/Maine, Boston, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, Dallas or Houston.

• 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 to deliver guidance and advice on regulatory best practices.
• Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar).
• Liaise with Fund CCOs and compliance staff, assisting the RIA with periodic Fund compliance questionnaires and certifications.
• Conduct annual 206(4)-7 examinations.
• Lead and coach clients through SEC regulatory exams.
• Maintain firm records (calendars, project workflows, status updates), accounting records, and time reporting.
• Assist clients with compliance questions and other needs.
• Use creative thinking to brainstorm new services that add value to client relationships.
• Assist in enhancing internal workflow and processes.
• Produce and deliver externally focused compliance content (e.g., webinars, research notes, white papers).
• Attend conferences and meetings as requested.
• Conduct oneself in a professional manner.
• Report to senior management on potential or perceived violations of applicable laws, rules, or Company policies.
• Other tasks and projects as assigned.

• Minimum six (6) years of Investment Adviser Compliance experience (consulting or in-house); experience with registered products and/or private funds is required.
• 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 – a professional who interacts effortlessly with regulators and high-profile clients.
• Excellent oral and written communication skills.
• Detail-oriented and capable of multi-tasking.
• Independent self-starter with the ability to organize workload and meet deadlines.
• Service orientation with a proven ability to provide superior customer service.
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions.
• Ability to work both independently and as part of a team.
• Customer-focused attitude.
• Time management and organizational skills with strong attention to detail.
• Strong written and oral communication skills.

• Demonstrated professional integrity.
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
• Ability to exercise discretion and make independent judgments on matters of significance.
• 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 ongoing education and career progression; volunteers for and shows initiative on internal and external projects.
• 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 comfortable working in a tech-enabled environment.
• Willing to travel.

• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.

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 medical and dental coverage,…