Senior Principal Consultant – OCCO
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Job Description
Senior Principal Consultant advising financial-services firms on governance, risk, and compliance. Leading regulatory reviews, outsourced CCO engagements, client relationships, and junior-staff oversight.
Responsibilities:
- 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:
- 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:
- 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
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