The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.
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
The SolarWinds breach and the Microsoft Exchange server breach are striking, both in the extent and the breadth of their damage. The damage is ongoing; as part of the attack pattern, backdoor malware designed to give the attackers persistent access to the compromised organizations has been planted for future criminal activity. The recent executive order on cybersecurity testifies to the severity of the problem and the need for a centralized, proactive response. Learn what patterns we have observed and the mitigating strategies we recommend.
Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.
- Trade & Transaction
- Managed Services
- Regulatory Deadlines
- Regulatory Technology
- GIPS Standards
A ransomware attack has led to the shutdown of the Colonial Pipeline, the largest fuel pipeline in the U.S. The Colonial Gas pipeline supplies gasoline, jet fuel, and other products to the eastern and southern U.S., providing 45% of the East Coast supply of fuel.
- Portfolio Company Risk Management
On May 4, researchers released details of a security flaw in Dell devices. The flaw affects hundreds of millions of desktops, laptops, notebooks, and tablets. Dell has released additional details of the vulnerability and a recommended fix.
ACA’s virtual spring conference is right around the corner. We encourage ACA Aponix clients to attend the sessions below or to invite other members of their teams to join in. Here’s a sneak peek at what you can expect and what you can expect to take away.
- Portfolio Company Risk Management
On April 14, the U.S.DOL issued a news release with guidance on cybersecurity for retirement plan administration aimed at plan sponsors, fiduciaries, record-keepers and participants of plans regulated by ERISA, the federal law that sets the minimum standards for retirement and health plans in private industry. Get the details on this guidance as well as our recommendations.
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.
The acquisition of Catelas further enhances the holistic surveillance capabilities of ACA’s RegTech platform. Catelas’ patented technology automates the mapping of how people connect and form groups within a firm, isolates collusion risk, and detects high-risk behaviors.
Our speakers will discuss how to tailor your spending and prioritize your budget to meet the needs of your firm and regulatory requirements.
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).