Senior Principal Regulatory Consultant — Compliance & Exams

ACA Group; United States; Hybrid; USD 180,000 - 200,000; Full time

Benefits offered by this job

Medical and dental coverage

401(k) plan

Paid time off

Flexible work environment

Student debt forgiveness

Pet insurance

Job summary

ACA Group is seeking a senior regulatory compliance professional to lead mock examinations, oversee complex client reviews, and provide expert regulatory consulting. You will manage relationships with regulators and clients, coordinate with finance, sales, and legal, and guide junior staff on projects.

Ideal candidates have a strong background in U.S. securities laws, supervisory experience, and a proven track record delivering high-quality client service in a fast-paced environment.

Qualifications

• Bachelor’s degree.
• 8 years of industry experience or 6+ years including regulatory exposure.
• Advanced knowledge of federal securities laws and related rules.
• Executive presence with regulators and high-profile clients.

Responsibilities

• Lead or assist all aspects of mock regulatory examinations and reviews, including documentation, interviews, and reports.
• Oversee and review work of project team members on complex client reviews.
• Provide regulatory consulting, filings, policy reviews, and issue resolution.
• Manage client relationships, coordinate with internal departments, and ensure timely responses.
• Identify, manage, and support internal ACA initiatives and training.
• Supervise, train, and provide feedback to junior colleagues.
• Perform ad-hoc work to support ACA initiatives.

Skills

Executive presence

Communication skills

Attention to detail

Microsoft Office

Travel willingness

Education

Bachelor’s degree

Tools

Microsoft Office

Job description

ACA Group is seeking a senior regulatory compliance professional to lead mock examinations, oversee complex client reviews, and provide expert regulatory consulting. You will manage relationships with regulators and clients, coordinate with finance, sales, and legal, and guide junior staff on projects.

Ideal candidates have a strong background in U.S. securities laws, supervisory experience, and a proven track record delivering high-quality client service in a fast-paced environment.