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Managed Services for Financial Services

Maximize your time and efficiency

Contact Us About Managed Services

Strong compliance and risk management programs demand appropriate resources and continued support. Our managed service offerings provide valuable solutions and resources to help ensure proper governance, monitoring, and oversight of your firm’s compliance program and procedures.

Get more done while easing the burden of day-to-day tasks. Let’s talk about how we can help your firm.


 

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How We Help

Our team has the regulatory and practical compliance experience to assist firms with their ongoing compliance responsibilities. We can help with:

Compliance Staffing and Secondments

Do you need an extra set of hands to get things done? Have you fallen behind on a testing mandate, or do you need support following a regulatory investigation or incident? We can help.

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Compliance Outsourcing and Support

Do you need relief from manual and time-consuming day-to-day tasks? Do you need consistent support to get more done and get back more time in your day? We can help.

Learn More

 

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Compliance Staffing and Secondments

We provide support services and solutions for firms that need:  

 

Spotlight on Staffing Support and Secondment

The staffing needs for financial services firms are constantly evolving. The ever-changing regulatory landscape combined with the increasing adoption of regulatory technology can make finding and retaining qualified staff with the required proficiencies a challenge for HR departments and recruiters. However, having the proper staffing and supporting resources in place is crucial to maintaining a strong compliance program. Teams that are over-burdened and stretched too thin are more likely to experience burn out and make mistakes.

We can help. Learn more about our staffing and support services.
 

Download Our Case Studies Here

 

Additional Support Solutions

  • Employee Compliance solution/Code of Ethics support
  • Valuation/pricing analysis
  • Portfolio management, trading, and insider trading reviews
  • Performance dispersion testing
  • Quantitative analysis and reporting
  • Soft dollar eligibility analysis
  • Counterparty exposure tracking and reporting
  • Cross trade, principal trade, and agency cross trade reviews
  • Testing for compliance with Rule 105, Rule 144A, and Sec. 12(d)(1)
  • Client and Investor Interactions
  • Proxy voting and class action participation
  • Side letter obligation tracking and related testing of investment mandate compliance

Why Use Managed Services?

  • Create more bandwidth for CCOs wearing too many hats
  • Get cumbersome tasks like regulatory filings, annual testing and surveillance off your plate
  • Provide additional experienced testing support
  • Rest assured knowing ACA’s experienced team will ensure each of these tasks will be completed accurately and in timely fashion
  • Allows for staffing to normal workload and provided on-demand scalable support
  • Reduces key person risk and hiring/termination process
  • Shifts the variable costs of recruiting, retaining, training, and benefits to the ACA balance sheet

 

Learn more about how we can support you to get more done while easing the burden of day-to-day tasks.

 

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