Senior Principal Consultant
Employment Information
Report this job
Job expired or something wrong with this job?
Job Description
Senior Principal Consultant advising financial-services clients on governance, risk, and compliance. Leading regulatory reviews, consulting projects, client relationships, and junior-staff supervision.
Responsibilities:
- Lead or assist mock regulatory examinations and compliance program reviews
- Prepare document requests, review documents, conduct interviews, and draft reports
- Oversee and review project team members’ work
- Perform broad review work for ACA’s largest and most complicated clients
- Guide, coordinate, and consolidate colleagues’ work during reviews
- Provide regulatory consulting services, including regulatory filings, forensic testing, policy and procedure reviews, marketing-material reviews, compliance advice, issue identification, and resolution proposals
- 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, or support special projects and internal initiatives
- Draft industry-publication articles
- Participate in sales
- Conduct or oversee compliance research
- Prepare, oversee, or deliver internal and client training and presentations
- Supervise, train, evaluate, oversee, and provide feedback to junior colleagues
- Perform ad-hoc client and internal special projects
- Serve as an outsourced chief compliance officer (oCCO) for clients when needed
Requirements:
- Bachelor’s degree
- 8 years of industry experience; alternatively, at least 6 years of experience 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
- Demonstrated professional integrity
- Ability to exercise discretion and make independent judgments on significant matters
- 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
- ACA Paid Holidays
- Summer Fridays
- Personal/Family Care leave
- Other leaves of absence
- Flexible work environment
- Student Debt Forgiveness
- Pet Insurance
- Performance-based compensation
- Bonus
Similar Jobs
Clinical Consultant
Clinical Consultant managing healthcare customer accounts for SafelyYou’s AI-powered senior-care fall prevention platform. Driving adoption, training, clinical reviews, renewals, and customer advocacy.
Professional Services Consultant
Professional Services Consultant deploying Illumio’s ransomware-containment platform for Brazilian clients. Advising on integrations, cloud infrastructure, automation, troubleshooting, and security operations.
Workday Absence & Time Tracking Consultant
Workday Absence & Time Tracking Consultant configuring enterprise solutions for Kainos’s global customers. Delivering customer-focused consulting and application management services.
Coding Consultant – Outpatient
Outpatient coding consultant reviewing hospital records for Datavant’s healthcare data platform. Assigning accurate diagnoses, procedures, APCs, and discharge codes remotely.
VIP Travel Consultant – Amadeus
Remote VIP travel consultant using Amadeus to book and advise executive travelers. Delivering high-touch business travel services for BCD Travel, a global corporate travel company.
Travel Consultant – Amadeus
Remote Travel Consultant using Amadeus to manage reservations, policies, regulations, fares, and client requests. Supporting BCD Travel’s global business-travel services and customer relationships.
Strategic Consultant
Strategic Consultant optimizing recruiting workflows, configurations, and strategies for Greenhouse hiring software customers. Leading complex professional services engagements, audits, and change management.
Capital Equipment Consultant – Microbiology
Capital equipment consultant selling Beckman Coulter microbiology diagnostics to hospitals and laboratories. Managing territory growth, customer strategies, and field sales across the Mid-Atlantic.
Healthcare Emergency Management Consultant
Healthcare emergency management consultant coordinating mutual aid, training, and disaster exercises for California long-term-care facilities. Supporting Jensen Hughes’ safety and risk consulting services.
Healthcare Life Safety Code Consultant, Physical Environment, Emergency Management
Healthcare safety consultant helping organizations meet CMS, NFPA, and accreditation requirements. Leading facility assessments, emergency-management programs, training, and client solutions.
Senior Travel Consultant
Senior Travel Consultant booking and advising on corporate travel for BCD Travel. Managing reservations, travel policies, regulations, fares, and client service remotely.
Travel Consultant
Remote Travel Consultant booking and advising on compliant business travel for BCD, a global corporate travel management company. Handling reservations, policies, regulations, fares, and client service.
Travel Consultant
Remote Travel Consultant booking reservations and advising US clients on policies, fares, visas, and travel regulations. Supporting BCD Travel’s technology-enabled business travel services.
VIP Travel Consultant
Remote VIP Travel Consultant serving executive travelers through reservations, policy guidance, and travel consultation. BCD connects people and businesses through technology and human travel expertise.
Data Acquisition Consultant
Data Acquisition Consultant implementing Med-Metrix healthcare data projects for customers. Coordinating data specifications, SQL analysis, QA, risks, and cross-functional delivery.
Consultant
Data analysis consultant supporting CIMMYT’s Dryland Crops Program. Applying biometrics, mixed models, and reproducible R/Python workflows to crop breeding trials.
Consultant – Gender Equality, Disability and Social Inclusion Expert
GEDSI consultant advancing gender, disability, and social inclusion across IWMI’s international water-development projects. Providing technical advice, capacity building, MEL support, and donor-ready guidance.
Senior Workday HCM Data Conversion Consultant
Remote Workday HCM Data Conversion Sr. Consultant supporting ERPA clients’ Workday implementations and post-production projects. Building data conversion, reporting, and functional business process solutions.
Clinical Consultant
Clinical Consultant implementing Philips radiology informatics and VUE PACS solutions across UKI. Configuring workflows, training clinical users, and supporting healthcare customers in field-based deployments.
Clinical Consultant
Clinical Consultant implementing Philips radiology informatics and VUE PACS solutions across UKI. Configuring workflows, training clinical users, and supporting VUE PACS deployments.