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.
Firm types we serve
We help prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations.
We help private equity, private debt, venture capital, and real estate fund managers as well as their portfolio companies comply with the Investment Advisers Act of 1940 and industry best practices.
We work closely with investment and operations teams providing pre-and post-deal technology, cybersecurity, privacy, and ESG transaction advisory services and portfolio company oversight.
Our market share
Of the top 50 money managers, as noted in the ADV Ratings September 2020 ranking data
Hedge Fund Managers
Of the top 100 hedge fund managers, as noted in the May 2021 edition of Hedge Fund Alert
Private Equity Funds
Of the top 100 private equity funds, as noted in the May 2021 PEI 300
Trusted by leading financial services firms worldwide
We work with over 3,500 financial services firms worldwide to build scalable and progressive GRC programs that help them protect and grow their business. Our innovative and scalable approach integrates expert advisory, on-demand managed services, and award-winning technology that can be tailored to your unique needs.
Helping risk and compliance functions across your firm
- Risk and Compliance Leaders
- Risk and Compliance Teams
- General Counsel and Legal Teams
- Marketing and Performance Teams
- ESG Teams
- Information Technology and Security Teams
- Investor Relations Teams
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.