Senior Principal Consultant

ACA Group

. Lead or assist mock regulatory examinations and compliance program reviews .

Posted 9/25/2026full-timeRemote • 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. Proven skills in project oversight, team leadership, and effective communication in high-stakes environments.

Highest-signal resume keywords

Regulatory ComplianceFederal Securities LawsClient Relationship ManagementProject OversightTeam Leadership

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ExaminationCompliance Program ReviewForensic TestingPolicy and Procedure ReviewDocument ReviewCompliance ResearchTraining and Presentation DeliveryIssue IdentificationResolution ProposalsSales Participation

Soft Skills

Strong Organizational SkillsProblem-Solving SkillsAttention to DetailEffective CommunicationProfessional Integrity

Tools & Technologies

Microsoft Office ApplicationsWeb-Based Technology Applications

Industry Keywords

U.S. SECNFACFTCFINRACompliance AnalystOutsourced Chief Compliance Officer

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

Bachelor’s degree
8 years of industry experience; alternatively, at least 6 years of experience including qualifying experience as an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA, another regulatory authority, or as a 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
Demonstrated professional integrity
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
Strong organizational and problem-solving skills with attention to detail
Strong oral and written communication skills
Proficiency with Microsoft Office applications
Comfort working in a tech-enabled environment and understanding of web-based technology applications
Willingness to travel

Benefits

Comp & perks

Medical coverage
Dental coverage
401(k) plans
Paid time off options
ACA Paid Holidays
Summer Fridays
Personal/Family Care leave
Other leaves of absence
Flexible work environment
Student Debt Forgiveness
Pet Insurance
Performance-based compensation
Bonus