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Fund Compliance Officer Services
Independent compliance expertise and integrated governance support.
ACA Group’s Fund Officer model provides funds and their Boards of Trustees with experienced, independent Fund Compliance Officers who work alongside key service providers to strengthen compliance and governance oversight. Our Fund Compliance Officers help funds:
- Strengthen governance oversight: Provide independent compliance expertise to support the Fund’s Board of Trustees.
- Coordinate with service providers: Work with administrators, legal counsel, audit firms, and advisers to support effective compliance oversight.
- Apply industry insights: Draw on experience across multiple funds and service providers to inform compliance practices.
- Extend internal resources: Provide hands-on compliance support while allowing internal teams to focus on core responsibilities.
Ready to strengthen your fund’s compliance and governance oversight? Complete the form to discuss how ACA’s Fund Officer model can support your Fund’s Board of Trustees.
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How ACA Fund Officers Support Your Governance
Explore how our Fund Officers can support your unique needs, from governance to operational oversight.
ACA delivers Fund Chief Compliance Officer (Fund CCO) solutions, independent from the Administrator and Adviser, for many pooled products, including open-end, closed-end, and exchange-traded funds. We can also provide an interim Fund CCO during a transition period or provide support for your existing Fund CCO. The Fund Chief Compliance Officer (The Fund CCO) can implement a comprehensive fund compliance program with the following attributes:
- Develop and maintain Fund compliance policies and procedures
- Maintain close collaboration with the Adviser CCO
- Perform service provider oversight and due diligence
- Provide Board communication and Board meeting attendance
ACA’s Fund Treasurers interact with leading service providers, audit firms, and advisers, and continuously monitor emerging regulatory requirements to ensure your funds remain compliant. This includes:
- Sarbanes-Oxley certification of Form N-CSR
- Review and sign as Treasurer on the registration statement and other relevant filings
- Assistance with disclosure control committee structure
- Due diligence oversight of the Administrator
- Fund budget review
- Board communication and Board meeting attendance
ACA offers a range of Anti-Money Laundering (AML) solutions. Our fund AML Compliance Officer solution is able to maintain the fund’s AML program to incorporate new or changed regulations and provide best practice recommendations.
To fulfill Bank Security Act and Patriot Act requirements, our independent AML experts can review the adequacy of the policies and procedures of the fund’s AML program and its service providers and assess the effectiveness of its implementation.
ACA’s Fund Secretaries interact with leading service providers, audit firms, fund/trustee legal counsel, and advisers, and continuously monitor emerging regulatory requirements to ensure your funds remain compliant.
- Regulatory Filings – Prepare for review, commenting, and filing of required SEC administration filings such as annual updates, proxy solicitation materials, 40-17G, and Form N-PX filings
- Board Meeting Support and Management – Prepare agendas, resolutions, minutes, and coordinate the collection of other materials for review and sign-off prior to distribution to the trustees
- Corporate Secretarial Services and Records Management – Serve as named Secretary/Assistant Secretary, annual distribution and collection of Trustee and Fund Officer Questionnaires, annual coordination of Fidelity Bond and Directors and Officers Insurance/Errors and Omissions Insurance
- Shareholder meetings – Develop draft scripts for and attend shareholder meetings. Record the minutes of the meetings
- Maintenance and recordkeeping of such material as agreements, minute books, Charter/Declaration of Trust of the Fund, By-Laws, and other governance.
ACA can serve as the President of a Trust, providing a second Sarbanes-Oxley Compliance certifying officer and resource for the Board.
Find the Right Fund Officer Solution for Your Needs
Simply book a call with one of our specialists. They will guide you through the fund compliance officer services available and help you build a plan best suited to your needs.
Benefits of ACA’s Independent Fund Officer Model
At ACA, we go beyond traditional fund support by offering a Fund Officer model that is built on independence, expertise, and strategic alignment with your board’s goals. Here is what sets us apart:
Separation of Roles
Best-practice Perspective
Limited Engagements
Senior Staffing
Hands-on Approach
Access to Peers
FAQs
Fund Officer Compliance Services
What is ACA’s Fund Officer model, and how does it support fund governance?
ACA’s Fund Officer model embeds experienced, independent professionals alongside a fund’s Board of Trustees. These officers collaborate with administrators, legal counsel, audit firms, and advisers to enhance governance through industry insights and best practices.
What roles can ACA fulfill within a fund’s organizational structure?
ACA can serve in multiple key roles, including President of a Trust, Fund Chief Compliance Officer (Fund CCO), Principal Financial Officer (PFO), Principal Executive Officer (PEO), Anti-Money Laundering Compliance Officer (AMLCO), and Secretary or Assistant Secretary through its Regulatory Administration services.
How does ACA ensure independence and best-practice compliance in its services?
ACA emphasizes role separation, senior staffing, and limited engagements to maintain independence and deliver tailored solutions. Their professionals bring 10–15 years of experience and work closely with multiple service providers to stay aligned with evolving regulations and industry standards.
Can ACA provide interim or supplemental support for existing fund officers?
Yes. ACA offers interim Fund CCO services during transitions and can also support existing officers with compliance program implementation, monitoring, and board communication.
What makes ACA’s approach different from traditional fund support providers?
ACA’s hands-on, customized approach is built on independent, strategic alignment with board goals, and a collaborative model. Our professionals maintain strong client knowledge and access to a network of experienced peers.
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