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Senior Pensions Consultant, Flexible Working
4 months ago
The individual in this position will service UK / EU-based SEC Registered Investment Advisers and Exempt Reporting Advisers and will be responsible for participating in mock regulatory examinations and compliance program reviews, assisting with policy and procedure reviews, drafting reports and manuals that promote compliance with regulatory requirements, and providing compliance assistance and advice to clients. The individual can take a leading role on complex projects. The individual in this position is also responsible for the development of client relationships and development and oversight of ACA junior staff.
Lead or assist all aspects of mock regulatory examinations and compliance program reviews (e.g., reviewing documents, conducting interviews, and drafting reports), including overseeing and reviewing the work of project team members.
Provide regulatory consulting services to clients as needed (e.g., creating drafts of and submitting regulatory filings, conducting forensic testing, reviewing policies, procedures, and marketing materials and other compliance documents, answering compliance-related questions from clients, as well as identifying compliance-related issues and proposing resolutions).
Manage assigned client relationships and projects proactively, including providing expert advice and excellent client experience, as well as monitoring profitability and accounts receivable.
Liaising with other internal departments as necessary (finance, sales, legal) where you are the designated account owner, including responding to clients' questions and needs in a timely manner and ensuring that colleagues contributing to shared accounts do the same.
Identify, manage and/or support ACA special projects and internal initiatives (e.g., drafting articles for industry publications, participate in sales, conduct, or oversee research on compliance issues, prepare, oversee the preparation of, and/or deliver internal or client training and/or presentations).
Formally supervise, train, evaluate, oversee, and provide feedback to colleagues in a supervisory and project manager capacity.
Perform ad-hoc work/special projects as necessary to support ACA on various client and internal initiatives.
Bachelor's degree. SEC, NFA, CFTC, FINRA or another regulatory authority or (ii) a compliance analyst or consultant with ACA or a consulting organization comparable to ACA.
S. federal securities laws and associated rules and regulatory positions thereunder (e.g., Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
pro-active 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.
Proficient with Microsoft Office applications and comfortable working in a tech enabled environment.
We offer a 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 package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering.
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. 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.
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.
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