The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
ACA Aponix® provides cybersecurity and technology risk programs, data privacy compliance services, vendor and M&A diligence services, portfolio company oversight, network testing, and advisory services for companies of all sizes.
Strengthen your cyber program with Aponix Protect™
Aponix Protect helps firms address evolving cyber risks and threats to ensure that their cybersecurity needs are covered year-round. This solution is available in three tiers, each one designed to provide firms with a flexible, robust, responsive, and cost-effective cybersecurity program.
Increase oversight of your portfolio companies' cyber risk with PortCo Defend™
Our PortCo Protect program is designed to provide high-level insight into cybersecurity risks across a portfolio and measure the maturity of the cybersecurity approach at each investment entity. The program establishes minimum security requirements, a measurement framework and governance, and provide guidance/ assistance where needed. It is not intended to cause rework or significantly change the direction of a portfolio companies current security initiatives.
Minimize risk and maximize enterprise value with technology, cyber, and privacy M&A diligence
Our team assists private equity firms with IT, cybersecurity, and privacy transaction advisory and risk management services. We provide full M&A integration analysis, design, oversight and execution services to help you minimize risk and maximize enterprise value for your most complex transactions by closely aligning our services with your investment thesis.
Why work with us?
We provide cybersecurity and technology risk programs, data privacy compliance, vendor and M&A diligence services, network testing, and advisory services for companies of all sizes. Our unique approach combines a deep understanding of your workflows with our methodologies, thought leadership, and proprietary data to surface and prioritize the most important risks. Our award-winning solutions are designed to help firms uncover risks and identify deficiencies in their cybersecurity policies, procedures, and controls.
Why work with us?
Deep information technology experience. Award-winning solutions. Holistic approach to technology risk.
- Experienced global team
- Certified team members
- Thought leaders in cybersecurity and IT risk
- Over 650 companies work with us
- Award-winning technology and solutions
- Holistic approach to cybersecurity and IT risk
ACA Aponix provides cybersecurity and technology risk assessments, data privacy compliance, vendor and M&A diligence services, network testing, and advisory services for companies of all sizes. Our unique approach combines a deep understanding of your workflows with our methodologies, thought leadership, and proprietary data to surface and prioritize the most important risks. Our award-winning solutions are designed to help firms uncover risks and identify deficiencies in their cybersecurity policies, procedures, and controls.
Who we are
- Our team consists of senior technologists who have started in the technology trenches, many growing into technology leaders at organizations ranging from small to large hedge funds, bulge-bracket banks, and technology services providers for the financial services sector.
- ACA Aponix staff maintain or have held the following relevant certifications around cybersecurity risk management, incident response, penetration testing, information security, IT governance, privacy, and business. Additionally, select ACA Aponix staff maintain U.S. military security clearance.
- CISSP, CISM, CISA, ISO27001:2013, CGEIT, CRISC, CTPRP, Security+, OSCE, OSCP, CEH, GXPN, GPEN, GWAPT, GCFE, GCCC, GCIH, GCIA, ECSA, SSA, CREST CPSA
- CIPM, CIPP, CIPT
IT & Business Continuity
- A+, CCA, CNE, CCNA, CCNP, CSPO, ISO22301:2013, MCSA, MCSE, MSCP, Network+
- CFA, CM&AA, GSLC, JD, MBA, PhD, PMP, Six Sigma Black Belt
Our leadership team
Kavitha is a Partner and the Business Lead for ACA Aponix, the dedicated global cybersecurity and technology risk advisory team.
Chad is a Partner at ACA Aponix, the cybersecurity, privacy, and IT risk division of ACA Group and oversees ACA Aponix’s Strategic Technology Advisory and Risk practice.
Mike is a Partner at ACA Aponix, the cybersecurity, privacy, and IT risk division of ACA Group.
James is a Partner at ACA Aponix, the cybersecurity, privacy, and IT risk division of ACA Group. James manages ACA Aponix in Europe.
Marc is a Strategic Advisor at ACA, and a Co-founder and formerly a Co-head Partner at ACA Aponix.
Kris is a Managing Director at ACA Aponix, specializing in information security program and policy development, risk management, vulnerability assessments, third-party security assessments, and audits.
Henry is a Managing Director at ACA Aponix, the cybersecurity, privacy, and IT risk division of ACA Group and oversees the sales department for the division.
Alex is a Managing Director at ACA Aponix, overseeing ACA Aponix’s GDPR, CCPA, and other privacy regulation data-processing reviews and related programming.
Sara oversees ACA Aponix's vendor diligence and management service (VMOS) team.
Jose is a Director at ACA Aponix leading the penetration team.
Christine is a Director at ACA Aponix.
Latest cyber and risk insights
ACA announces that Alex D. Scheinman has joined the firm as a Director overseeing ACA Aponix®'s GDPR data processing reviews and data privacy.
- ACA News
Are you tired of managing your vendors with spreadsheets? Do you have a different tab for every third party? Does the prospect of a regulatory exam make you break out into a cold sweat?
March 1, 2018 is the next compliance deadline for the New York State Department of Financial Services' ("DFS") New York State Law 23 NYCRR 500 Cybersecurity Requirements for Financial Services
Cybersecurity Considerations for Private Equity Firms: Mitigating the Cyber Risks of Portfolio Companies
As we approach the end of 2017 and reflect on the past year, it’s hard to ignore the recent surge in cybercrime and the financial, operational, and reputational losses that breaches have caused port
ACA is honored to be voted Best Regulatory Consultancy - North America in the RegTech Insight Awards 2021 USA.
The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.