GRC Managed Services

Maximize your firm’s time and efficiency with our technology-powered compliance management services.

Now more than ever, compliance and risk teams are challenged to increase the effectiveness of their compliance programs, manage with fewer internal resources, ensure high-quality results, reduce turnaround times, and lower costs.

We provide our clients with compliance management service solutions to these challenges while delivering value and improved outcomes. Our dedicated team of compliance and risk professionals has a proven record of providing high-quality results in a timely manner for over 1,000 firms globally.

Whether you’re a hedge fund with just one or two compliance professionals or a large, complex financial services firm with a sizeable, global compliance team, our managed services can help.

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Our Managed Services

We can help take manual and time-consuming tasks off your plate, including:

Outsourced Marketing and Advertising / Financial Promotions Reviews

Our skilled compliance management service team can assist with regulatory review while enhancing collateral review workflows and protocols, allowing your firm to significantly reduce the amount of time and resources devoted to this process.

We can review your marketing material and provide guidance on key regulatory expectations and best practices.

Some common focus areas are:

Performance claims
Benchmark usage
Performance portability
Testimonials

This can be used in collaboration with the Marketing Review module in our award-winning integrated regulatory technology platform, ACA ComplianceAlpha^®.

Electronic Communications and Online Presence Reviews

Electronic Communications

We specialize in conducting risk-based reviews of electronic communications to help firms meet regulatory obligations and identify effectiveness of existing trainings, policies, and procedures. Our team includes specialized analysts with a wealth of benchmarking expertise based on thousands of electronic communications reviews and peer searches.

Clients looking for the optimal best practices and investment in risk mitigation will benefit from our combined managed services and eComms Surveillance module in our ACA ComplianceAlpha^® RegTech platform.

Social Media and Online Presence Review

Our social media and online presence reviews can assist your firm with identifying public online activity that could pose compliance or reputational issues.

This compliance management service can also assist your firm with addressing regulatory guidance on the personal use of public-facing social media by investment advisers and their employees.

Code of Ethics and Personal Trading System Support

Our dedicated specialists can help manage your firm’s code of ethics and personal trading activity, reducing the burden of administration in an efficient and cost-effective manner.

We’ll provide a case manager for ongoing employee guidance and investigating items of interest (IOI) while supporting your compliance program with personal trade reviews, account reconciliations, employee certification maintenance, and more.

This service is optimized when leveraging the Employee Compliance module in ACA’s ComplianceAlpha^® award-winning regulatory technology platform that integrates risk and compliance activities, automated surveillance, ongoing monitoring, flexible workflows, and enhanced analytics.

Regulatory Filings

Our regulatory filings analysts can help aggregate, review, and submit applicable filings on your firm’s behalf. This is a cost-effective, full-service offering, designed to streamline complex global reporting requirements, improve data accuracy, reduce talent burnout and manage operational costs.

Supervisory Requirements and Legislations include:

SEC
- Form ADV
- Form13F, 13H
- Schedule 13G
- Form PF
- Marketing rule
FCA/ESMA
- AIFMD/Annex IV
- MiFID
ESMA
- SFDR
- CBDF
FINRA
- Form U4, U5
- Form BD
- Form BR

Expert Network Chaperoning (and Recorded Calls Reviews)

Our analyst team helps address growing regulation around material non-public information (MNPI) and the increasing need for risk-based chaperoning.

We can chaperone your calls or virtual meetings, noting any observes inconsistencies with policies and procedures or potential risks, and escalate any significant notes immediately to internal compliance contacts.

This compliance management service solution is ideal to help tackle resource restraints and concerns around potential associated business and compliance risks that could lead to problems with regulators, clients, and prospects.

We utilize our in-house technology and optimized workflows for most filings to reduce risk and increase efficiencies.

Anti-Money Laundering (AML) Due Diligence Support KYC/CIP Onboarding and AML Screening

Our AML DD and KYC/CIP solution is designed to assist your firm implement effective AML processes that meet industry best practices and comply with applicable local laws and regulations.

Our solution combines ACA’s ComplianceAlpha^® regulatory technology powered by ComplyAdvantage with our AML managed services analysts to help your firm meet its document review, data screening, ongoing monitoring, remediation, and reporting needs.

Why use managed services?

Many firms now find it more challenging to locate the talent required to fill key roles, something that particularly felt by compliance, performance, and risk teams in financial services firms. This back-office staffing challenge leaves firms in danger of creating risky exposure gaps in their compliance program.

Do more with less

Streamline processes and reduce costs while improving efficiency
Strategically shift cumbersome tasks to optimize team focus on level-appropriate work
Increase operational agility to handle unexpected and cyclical staffing needs

Reduce variable cost and operational risk