SEC Mock Examiner

ACA Group; New York (NY); On-site; USD 150,000 - 210,000; Full time

Benefits offered by this job

Base compensation

Bonus compensation

Medical and dental coverage

401(k) plans

Paid time off options

Flexible work environment

ACA Paid Holidays

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group in New York is seeking a senior examiner/attorney with private funds experience to join our growing GRC practice. You will lead mock regulatory examinations, review compliance programs, and draft reports for high-profile clients.

You’ll interact with regulators and senior clients, identify improvement opportunities, and contribute to ACA’s market expansion through speaking, writing, and client engagements. Travel as needed.

Qualifications

• Bachelor's degree required with background in private funds.
• Current or recent private funds experience as an examiner or attorney with the SEC.
• 7+ years of industry experience and executive presence with regulators and clients.

Responsibilities

• Lead or assist all aspects of mock examinations and compliance program reviews, including document requests, testing, interviews, and drafting reports.
• Identify, develop and generate business opportunities across ACA by serving as a subject matter expert on calls.
• Increase ACA's brand awareness by writing articles, speaking at conferences, and presenting to clients.
• Identify, manage and support internal initiatives and special projects.

Skills

Leadership

Regulatory knowledge

Executive presence

Travel

Communication skills

Private funds experience

Interviewing / testing experience

Education

Bachelor's degree

Tools

Microsoft Office

Job description

The Opportunity

ACA Group is one of the leading Governance, Risk and Compliance (GRC) providers to private funds, including Private Equity, Hedge, Credit, Real Estate, Venture Capital and more. ACA’s Private Fund business continues to experience exciting growth, and we are looking for great leaders and seasoned experts to continue supporting that growth. ACA has over 6,000 clients (including over 2,000 Private Fund clients) and serves 90% of the Top 50 Money Managers and over 80% of the top 100 Private Equity fund managers and Hedge Fund managers. The individuals in these positions should have current or recent experience as a private funds focused examiner or attorney with the U.S. Securities and Exchange Commission. Responsibilities include conducting mock regulatory examinations and compliance program reviews.

What you’ll do

• Lead or assist all aspects of mock regulatory examinations and compliance program reviews including for some of ACA’s largest and most complex clients (e.g., preparing document requests, reviewing documents, conducting testing and interviews, identifying deficiencies, making recommendations and drafting reports).
• Identify, develop and generate business opportunities across the whole ACA enterprise to provide a more comprehensive offering of services to new and existing clients (including by serving as a subject matter expert on commercial calls).
• Increase ACA’s brand awareness by writing articles, speaking/presenting at industry conferences, and/or making internal or client presentations on key topics.
• Identify, manage and/or support ACA special projects and internal initiatives.

To qualify for the role you must have

• Bachelor’s degree.
• Current or recent private funds related experience as an examiner or attorney with the U.S. Securities and Exchange Commission.
• At least 7years of industry experience.
• Advanced knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder.
• Executive presence – a professional who interacts effortlessly with regulators and high-profile clients.

Ideally, you’ll also have

• Experience within the SEC’s Private Funds Unit (PFU).
• Major or concentration in compliance, law, business, accounting, finance, and/or economics preferred.
• Supervisory or other leadership experience.

Skills and attributes for success

• Demonstrated leadership and professional integrity.
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
• Ability to exercise discretion and make independent judgments on matters of significance.
• Ability to work in a fast-paced individual and small team environment.
• Ability to establish, maintain and grow 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.
• Strong organizational and problem-solving skills with attention to detail.
• Strong oral and written communication skills.
• Proficient with Microsoft Office applications and comfortable working in a tech-enabled environment. Understanding web-based technology applications and willingness to provide input on enhancements and new solutions.
• Willing to travel.

Supervisory duties summary

• Supervise, train, evaluate, oversee, and provide feedback to colleagues (as needed).

What working at ACA offers

We offer a very competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards packages for these positions include base compensation, bonus compensation, as well as medical and dental coverage, 401(k) plans, and a wide range of paid time off options as well as a flexible work environment. You’ll also be granted time off for designated ACA Paid Holidays, Summer Fridays, Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being. We also offer unique benefits such as Student Debt Forgiveness and Pet Insurance.

• base compensation
• bonus compensation
• medical and dental coverage
• 401(k) plans
• a wide range of paid time off options
• a 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

About ACA

ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha ® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.

What we commit to

ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation, and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.