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ACA Group

Senior Principal Consultant – OCCO

ACA Group

. Participate in mock regulatory examinations and compliance program reviews .

Posted 10/12/2026full-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 lead compliance projects effectively. Proven experience in regulatory examinations, document review, and providing expert consulting services to ensure adherence to best practices.

Highest-signal resume keywords
Regulatory ComplianceFederal Securities LawsClient Relationship ManagementSupervisory ExperienceProject Management

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills
Regulatory FilingsForensic TestingPolicy and Procedure ReviewsDocument ReviewCompliance ResearchReport DraftingIssue IdentificationResolution ProposalsTraining and PresentationsMock Regulatory Examinations
Soft Skills
Professional IntegrityDependabilityFlexibilityAdaptabilityStrong Communication Skills
Tools & Technologies
Microsoft Office ApplicationsWeb-Based Technology Applications
Industry Keywords
SECNFACFTCFINRACompliance AnalystCompliance ConsultantRegulatory AuthorityExecutive PresenceHigh-Profile ClientsSmall-Team Environment

About the role

Key responsibilities & impact
  • Participate in mock regulatory examinations and compliance program reviews
  • Lead or assist examinations and reviews, including document requests, document review, interviews, report drafting, and oversight of project team members
  • Perform broad-scope work for large and complex clients and coordinate and consolidate colleagues’ work
  • Provide regulatory consulting services, including regulatory filings, forensic testing, policy and procedure reviews, marketing-material reviews, compliance advice, issue identification, and resolution proposals
  • Serve as an outsourced chief compliance officer for clients and ensure compliance programs meet regulatory requirements and best practices
  • 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, and support special projects and internal initiatives
  • Draft industry articles, participate in sales, conduct or oversee compliance research, and prepare or deliver training and presentations
  • Supervise, train, evaluate, oversee, and provide feedback to junior colleagues
  • Perform ad-hoc client and internal special projects

Requirements

What you’ll need
  • Bachelor’s degree
  • 8 years of industry experience, or at least 6 years 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
  • Supervisory experience preferred
  • Professional integrity
  • Dependability, flexibility, and adaptability
  • Ability to exercise discretion and make independent judgments
  • 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
  • Flexible work environment
  • ACA Paid Holidays
  • Summer Fridays
  • Personal/Family Care leave
  • Other leaves of absence
  • Student Debt Forgiveness
  • Pet Insurance
  • Discretionary bonus