ACA Compliance Group Holdings, LLC

  • SEC Compliance Advisor - IA - Investment Adviser

    Job Locations US-New York | US-MA-Boston | US-Chicago | US-CA-El Segundo | US-CA-San Francisco
    Job ID
    2018-1058
    Category
    Compliance
    Type
    Regular Full-Time
  • Overview

    The individual in this position is responsible for leading mock regulatory examinations and compliance program reviews, overseeing and assisting with policy and procedure reviews, drafting and overseeing the preparation of reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff.

    Responsibilities

    • Lead all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports), including overseeing and reviewing the work of project team members
    • Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, answering compliance-related questions from clients, as well as identifying compliance-related issues and proposing resolutions)
    • Manage and support assigned client relationships, including addressing and/or ensuring that questions and needs have been addressed
    • Supervise, train, evaluate, oversee, and/or provide feedback to junior staff, as assigned 
    • Identify, manage and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct or oversee research on compliance issues, prepare, oversee the preparation of, and/or deliver internal or client training and/or presentations)
    • Perform other ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives

     

    Qualifications

    • Bachelor’s Degree required 
    • At least 7 years of industry experience. Alternatively, at least 5 years of experience that includes some combination of the following: (i) an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA
    • Expert working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder (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)
    • Ability to exercise discretion and make independent judgments on matters of significance
    • Strong presentation skills
    • Demonstrated professional integrity and leadership skills
    • Dependable, flexible, and adaptable to new ACA initiatives and changing client needs
    • Excels in a fast-paced, small-team environment 
    • Demonstrated ability to work independently, multi-task, prioritize and manage effectively 
    • Ability to establish, maintain and deepen effective working relationships with colleagues and clients
    • Highly motivated and goal oriented; proactive in one’s own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks 
    • Dedicated to upholding ACA’s high quality standards and customer service focus
    • Exceptional organizational and problem-solving skills with keen attention to detail 
    • Exceptional oral and written communication skills 
    • Proficient with Microsoft Office applications, Adobe Acrobat, and the Internet 
    • Willing to travel — up to 50 percent

     

    ACA is an equal opportunity employer and does not unlawfully discriminate against current or prospective employees on the basis of race, color, religion, sex, age, national origin, pregnancy, child birth, or a related medical condition, familial status, marital status, sexual orientation, gender identity, gender expression, disability, veteran status, citizenship, ancestry, genetic information, or any other characteristic prohibited by law.

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