ACA Group

Consultant

• Lead or assist 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 regulatory filings, forensic testing, policy and procedure reviews, marketing-material reviews, compliance advice, issue identification, and resolution proposals
• Manage client relationships and projects proactively and profitably
• Provide expert advice and deliver a superior client experience
• Liaise with finance, sales, and legal departments
• Identify, manage, or support special projects and internal initiatives
• Draft industry-publication articles
• Participate in sales
• Conduct or oversee compliance research
• Prepare, oversee, or deliver internal and 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 (oCCO) for clients when needed

Senior Principal Consultant

• Independently review and approve investment company and/or private placement materials for complex clients
• Escalate client issues to the Senior Principal Consultant as appropriate
• Ensure compliance with FINRA/SEC and department policies for consistent reviews
• Interact daily with ACA clients, regulatory contacts, and staff regarding advertising review matters
• Provide advice and guidance to identify and resolve compliance issues
• Monitor compliance and remain current on FINRA, SEC, and internal standards
• Train client staff as appropriate
• Ensure team workflow is processed timely to meet department service levels
• Monitor daily workflow and address team issues as applicable
• Participate in client onboarding meetings for newly assigned clients

Senior Principal Consultant

Consultant, MR-Distributor