Senior Principal Consultant – Compliance & Regulatory Advisory

About the role

The Senior Principal Consultant will lead mock regulatory examinations and compliance program reviews for a range of private fund and registered product clients. The role involves developing client relationships, overseeing junior staff, and potentially serving as an outsourced Chief Compliance Officer (oCCO) for clients.

Key responsibilities

• Lead or assist all aspects of mock regulatory examinations, including document requests, reviews, interviews, and report drafting.
• Provide regulatory consulting services such as drafting filings, conducting forensic testing, and reviewing policies and marketing materials.
• Manage client relationships and projects proactively, ensuring a superior client experience.
• Supervise, train, evaluate, and provide feedback to junior colleagues.
• Identify and support special projects, internal initiatives, and industry publications.

Required profile

• Bachelor’s degree with at least 8 years of industry experience, or 6 years with relevant regulatory or consulting background.
• Advanced knowledge of U.S. federal securities laws and related regulations (e.g., Investment Advisers Act, Securities Exchange Act).
• Executive presence and ability to interact with regulators and high‑profile clients.
• Demonstrated professional integrity, discretion, and strong problem‑solving abilities.

Required skills

• Proficiency with Microsoft Office applications.
• Experience with web‑based technology applications.

What we offer

• Competitive compensation with performance‑based bonuses.
• Medical and dental coverage, 401(k) plan, and generous paid‑time‑off options.
• Unique benefits such as student debt forgiveness and pet insurance.