Your Guide to a Compliance Testing Action Plan

A strong compliance program provides a competitive edge that instills confidence in both regulators and investors. It is a regulatory requisite and a strategic investment to protect your firm from reputational, financial, and operational risks. 

Regular testing of your compliance program can ensure your policies and procedures are working and highlight areas where you may have gaps due to shifting regulations or changes in your business.

Our Compliance Testing Action Plan helps you ask the right questions and lay the foundation for a strong, effective program. Whether you’re building from the ground up or evaluating a long-standing program, our plan can help any firm, large or small, identify and assess risks across their business. Download now to get started.

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How we help

Whether you are looking to launch, grow, or protect your business, a robust compliance program is essential. At ACA Group, we offer a comprehensive suite of advisory, managed services, and technology solutions designed to help you build, oversee, and maintain a best-in-class compliance program.

Partnering with ACA Group provides more than just compliance solutions—it offers a strategic advantage that supports your firm throughout its entire lifecycle. We enable you to stay ahead of regulatory changes, manage challenges, and focus on achieving business success with confidence. Our wide range of solutions includes: 

• ACA Signature: Choose from our three distinctive models—Partner, Core, or Essential—to customize your services according to your firm's size, specific requirements, and ongoing compliance obligations. These scalable consulting offerings can be paired with managed services, regulatory technology, cybersecurity, and ESG to effectively address your regulatory commitments and day-to-day responsibilities.    
• Managed services: Outsource your compliance management tasks to simplify your processes, save time, and enhance business outcomes. Whether you need support with regulatory filings, AML due diligence, marketing, eComms or social media reviews, investment performance, or code of ethics and personal trading, we’ve got you covered.    
• Outsourced Chief Compliance Officer (OCCO): Optimize compliance oversight by passing your compliance requirements to our experts, helping to lower expenses and provide best practices.    
• RegTech: Unlock the full potential of your compliance strategy with ComplianceAlpha^®, ACA’s scalable governance, risk, and compliance software offerings. Our integrated solutions empower you to streamline processes, enhance oversight, and meet regulatory demands with ease.

In addition to compliance, we also protect your firm with tailored ESG, Cybersecurity, Privacy and Risk, and Investment Performance services—enhancing both your risk management and long-term resilience.

Contact us today to learn how ACA Group’s specialized expertise, advanced technology, and proven processes can help your business achieve its compliance goals, scale efficiently, and protect your reputation in a complex regulatory environment.