SEC Mock Examiner

ACA Group; West Virginia; On-site; USD 180,000 - 200,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plans

Paid time off

Student Debt Forgiveness

Pet Insurance

Job summary

ACA Group is a leading GRC provider seeking a senior examiner/attorney with SEC private funds experience to lead mock regulatory examinations and reviews. You will interact with regulators and high-profile clients while driving process improvements and expansion of ACA services.

The role requires seven years of industry expertise, strong knowledge of securities laws, and a demonstrated executive presence to engage top-tier clients. Travel will be required as part of client service delivery.

Qualifications

• Bachelor’s degree required.
• Experience as an examiner or attorney with the U.S. SEC in private funds.
• At least 7 years of industry experience.
• Advanced knowledge of federal securities laws and related rules.
• Executive presence and ability to interact with regulators and high-profile clients.

Responsibilities

• Lead or assist mock regulatory examinations and compliance program reviews for large clients.
• Identify and develop business opportunities across ACA to provide broader services.
• Raise ACA brand awareness through articles, speaking engagements or presentations.
• Identify and support special projects and internal initiatives.

Skills

Executive presence

Leadership

Communication

Education

Bachelor’s degree

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 d uties s ummary :

• 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.

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.

The cash compensation range we have provided has been benchmarked against similar organizations of comparable size, sector, and age. Our offers of employment consider a variety of factors, including but not limited to, unique skill sets, specific expertise or certifications and business/organizational needs. It is not typical for us to hire talent at the top of the range for a role, in part because it’s so important to us to allow all ACA employees the opportunity to develop over time, and to feel rewarded for doing so. Our listed range is a reasonable estimate of the total yearly compensation.

Salary Range: $180K-$200K plus bonus

Please note that everyone using, storing, sharing or transmitting information with or through ACA devices or systems, should have no expectation of privacy in any message, files, data, document, facsimile, telephone conversation, conversation, message, or any other kind of information or communications transmitted to, received from, printed from, or stored or recorded while utilizing any ACA systems, software, and data.