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.
ACA Compliance Group was founded in 2002 by four former SEC regulators and one former state regulator. The founders saw a need for investment advisers to receive expert guidance on existing and new regulations.
Over the years, ACA - now ACA Group - has grown both organically and by acquisition to expand our GRC business and technology solutions. Our services now include GIPS® standards verification, cybersecurity and technology risk, regulatory technology, ESG advisory, AML and financial crimes, financial and regulatory reporting, and Mirabella for establishing EU operations.
Who we are
Our team includes over 780 employees located worldwide.
Our team includes over 90 former regulators and compliance officers in addition to experts in cybersecurity, ESG, performance, and technology.
We work with more than 3,500 clients worldwide who help inform insights, trends, best practices, and benchmarking.
May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!
ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.
New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.
We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.
The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.