About the position
The individual in this position works with and supports supervisors, relationship managers, account owners, and engagement leads for ACA Outsourced Marketing Review (OMR). Consultants typically have supervisory, training, and/or subject matter expertise responsibilities in addition to their expertise and support on OMR engagements. Consultants are expected to maintain up-to-date knowledge regarding the regulations, best practices, and nuances associated with the products and services they engage in.
Responsibilities
- Support and/or lead OMR projects with other supervisors, relationship managers, account owners, and project leads
- Conduct reviews of clients’ books and records and other documents
- Train staff on regulations, policies, and procedures in one-on-one and small group settings
- Oversee client relationships, including onboarding new clients, setting scope and workflow expectations, communicating findings, tracking budgets, reviewing invoices, answering questions, and ensuring client expectations and contractual obligations are met
- Analyze potential regulatory matters and assist in interpreting complicated and nuanced compliance deficiencies
- Draft and finalize reports summarizing ACA’s work and findings and review drafts prepared by analysts
- Participate in training and career development via assigned courses/curriculums, supervisor instruction, and other training opportunities
- Supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity
- Manage and support thought leadership and other initiatives to promote ACA’s sales and marketing efforts
- Perform other ad-hoc work/special projects as necessary to support ACA’s various client and internal initiatives including, but not limited to: Training, Public speaking engagements, Attend conferences and roundtable events, Onsite client engagements
Requirements
- Bachelor’s degree
- At least three years of industry experience serving in a regulatory compliance role, or at least 2 years of experience that includes some combination of being an examiner or attorney with the U.S. SEC, NFA, CFTC, FINRA or another regulatory authority, or a data analyst or senior data analyst with ACA or a consulting organization comparable to ACA
- General working knowledge of relevant federal securities laws and associated rules and regulatory positions
Nice-to-haves
- Major or concentration in compliance, criminal justice, law, business, accounting, finance, and/or economics preferred
Benefits
- Competitive compensation package
- Medical and dental coverage
- 401(k) plans
- Wide range of paid time off options
- Flexible work environment
- Time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence
- Student Debt Forgiveness
- Pet Insurance
