Principal Consultant

at  ACA Group

Date: Jan 15, 2025
Location: London, United Kingdom, GB
Company: ACA Group
In this role you have responsibility for overseeing ACA’s delivery of on-going regulatory compliance consulting services to clients, including undertaking periodic on-site FCA reviews and other regulatory projects for our FCA-regulated clients, such as hedge funds and private equity firms.
You will be expected to manage a number of client relationships from a day-to-day delivery standpoint, ensuring high levels of client service and demonstrating technical competence across a range of compliance areas. You will also be expected to provide support to more senior colleagues in respect of other client accounts and to assist on and potentially run other ad hoc compliance projects for clients.
In addition, you will assist in the maintenance and enhancement of the delivery of the firm’s products and services, such as drafting template policies, updating logs of FCA regulatory changes and analysing and presenting regulatory developments to colleagues. This role will include an element of development and oversight of other ACA staff.

WHAT YOU’LL DO:

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• Providing regulatory consulting services to clients, including providing prompt and accurate responses to regulatory queries from clients, assisting clients with the submission of regulatory filings, writing and tailoring compliance policies and procedures, reviewing marketing materials, running or supporting compliance monitoring reviews, updating compliance policies and procedures, preparing and conducting compliance training for clients.
• Managing a book of client relationships and projects proactively, including providing expert advice and an excellent standard of client service, as well as monitoring profitability and accounts receivable.
• Undertaking regular compliance reviews for clients, including reviewing document request lists, undertaking document review and drafting and reviewing written reports.
• Liaising with other internal departments and subject matter experts, where required, in order to respond to clients’ questions and needs in a timely manner.
• Demonstrating a commercial awareness such that additional ACA Group services can be promoted for the benefit of clients, where appropriate, via referrals to dedicated sales representatives. This will entail recognising when a client might benefit from another of ACA’s offerings (such as RegTech or ESG) and making the necessary referral.
• Providing support for ACA internal initiatives, including drafting articles for industry publications, conducting research on compliance issues and drafting or assisting with internal presentations.
• Supervising, training, evaluating, overseeing, and providing feedback to colleagues in a supervisory and project manager capacity, as well as delegating work to more junior staff and overseeing the completion of such work to a high standard.

TO QUALIFY FOR THE ROLE, YOU MUST HAVE:

• Strong academic background (i.e. degree level, LPC or recognised professional qualification)
• At least five years of industry experience. Alternatively, at least four years’ experience that includes some combination of the following: (i) employment with the Financial Conduct Authority or (ii) in an Analyst or Consultant role with ACA or an equivalent role with a consulting or legal organisation comparable to ACA.
• Demonstrable in-depth working knowledge of the Financial Services and Markets Act 2000 (as amended), the Markets in Financial Instruments Directives, the Alternative Investment Fund Managers Directive, and related FCA rules and guidance.