Comprehensive GRC Advisory Solutions

Expert compliance guidance for financial services firms.

Your trusted partners in GRC advisory solutions

Our team:
  • 1,400+ employees, globally
  • 60+ former regulators (SEC, FINRA, FCA, CFTC/NFA, and State)
  • 90+ former in-house CCOs 
  • 91 FINRA Series 24, 26, 27, 28 licenses
With dedicated consultants
offering specialized support:
  • 300+ compliance professionals
  • 55+ cybersecurity and risk professionals
  • 50+ investment performance specialists
  • 20+ ESG professionals
  • 120+ distribution professionals

What do you need help with?

Our GRC advisory services cover critical aspects of governance, risk, and compliance, offering expert guidance and tailored solutions for your firm’s specific needs. By leveraging our deep industry knowledge, we help you build robust compliance programs that mitigate risks and enhance your firm’s operational resilience.

Strengthen your compliance program with our team of 300+ global compliance professionals including 60+ former regulators (SEC, FINRA, FCA, CFTC/NFA, DFSA, FRSA, and State) and 100+ former in-house CCOs.

Strengthen your compliance program with our team of 300+ global compliance professionals including 60+ former regulators (SEC, FINRA, FCA, CFTC/NFA, and State) and 100+ former in-house CCOs.

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Develop and implement a comprehensive ESG strategy that meets regulatory requirements and enhances your firm’s sustainability practices with our regulatory compliance solutions.

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Address financial crimes-related threats with our team of former regulators and auditors.

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Gain faster access to the UK and European markets with ACA Mirabella.

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Build cyber and operational resilience with ACA Aponix® cybersecurity experts for SEC cybersecurity risk management.

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Stay compliant with GIPS® standards and investment performance rules.

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Facilitate compliance and product distribution through legal underwriting, registered representative licensing, and fund sponsorship.

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Equip your team to effectively navigate regulatory changes. Whether you’re onboarding new members, updating existing staff, or participating in virtual training sessions, our courses cover the essential regulatory framework to navigate and apply compliance effectively. 

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Partner With ACA For Compliance Excellence

Looking for a partner in GRC? Request a strategy session with our team to learn more about how ACA can help you launch, grow, and protect your business. 

Unlock the full potential of your compliance program.

Our team of former regulators, compliance professionals, and technology experts brings extensive knowledge and experience to every engagement. We work closely with your firm to develop and implement effective compliance programs that mitigate risks and enhance operational efficiency.

Why ACA?

Experience the ACA advantage in compliance excellence. Our blend of expert knowledge, cutting-edge technology, and customized solutions is designed to boost efficiency, mitigate risk, and achieve outstanding results.  Here’s what sets us apart:

Expert Insight

Work with former regulators and industry specialists for tailored advice and services.
Regulatory Confidence
Solutions to help you stay ahead of evolving standards and minimize risks.
Streamlined Operations
Processes to optimize compliance accuracy and while reducing costs.

What our clients say

ACA Compliance has been a vital partner in helping us navigate complex regulatory requirements. Their expertise and proactive approach have provided us with peace of mind and allowed us to focus on growing our business.

Brett Scheller, Director of Compliance, RA Capital Management

FAQs

Comprehensive GRC Advisory Solutions

ACA’s advisory solutions provide expert guidance across all areas of governance, risk, and compliance (GRC) to help SEC, FINRA, CTFC, NFA, FCA, MAS, HK SFC, DFSA, and FRSA regulated financial services firms meet regulatory obligations, manage risk, and build operational resilience.

Our services include:

  • Regulatory Compliance: Program design and maintenance, gap analysis, risk assessments and advice, mock exams, and guidance on adapting to regulatory change.
  • ESG Advisory: ESG strategy, SFDR/TCFD reporting, investor alignment
  • AML & Financial Crimes: AML program development, KYC, sanctions compliance
  • Regulatory Hosting: investment management platform services in the UK
  • Cybersecurity: Risk assessments, incident response, regulatory compliance
  • Investment Performance: GIPS® compliance, performance verification
  • Distribution Compliance: Marketing reviews, cross-border distribution
  • Training: Custom compliance and conduct training programs

Many of these services can be streamlined and simplified further by blending with our managed services and regulatory technology.

Our advisory solutions are designed for financial services firms globally, including:

  • Investment managers (hedge funds, private equity, venture capital, real estate)
  • Wealth managers, financial advisors, and family offices
  • Commodity pool operators and trading advisers
  • Broker-dealers
  • Asset managers
  • Regulated fintech and crypto firms
  • Global firms with cross-border compliance needs

ACA supports firms subject to the following regulators and regulations:

  • United States: SEC, FINRA, CFTC, NFA
  • United Kingdom and Europe: FCA, MiFID II, MiFIR, AIFMD, EMIR, SMCR, IFPR, SFDR/TCFD, SDR
  • UAE: DFSA, FSRA
  • Hong Kong: SFC, Securities and Futures Ordinance (SFO), Code of Conduct, Fund Manager Code of Conduct (FMCC), AML/CTF Guidelines, and the Virtual Asset Trading Platform (VATP) framework
  • Singapore: MAS, Securities and Futures Act (SFA), Financial Advisers Act (FAA), AML/CTF Notices and Guidelines, and the Payment Services Act (PSA) for digital assets and fintech regulation
  • Global and Cross-border: GDPR, AML, KYC

We offer both. ACA provides:

  • One-time assessments and project-based consulting – Ideal for firms needing targeted support such as regulatory filings, gap analyses, or mock exams. This also includes advisory work in response to regulatory change or business transformation—such as trading new asset classes, launching new strategies, or entering new markets.
  • Long-term advisory partnerships – Ongoing support that includes compliance monitoring, regulatory updates, training, and strategic reviews. These partnerships often evolve to address regulatory developments or business changes, ensuring firms remain agile and compliant as they grow or shift focus.
  • Outsourced compliance roles and task execution – ACA can serve as an extension of your team by taking on day-to-day compliance responsibilities. In some regions, this can include outsourced Chief Compliance Officer (CCO) roles, regulatory reporting, policy maintenance, and more.

Our flexible engagement models allow firms to scale their compliance function efficiently while maintaining regulatory confidence and operational continuity.

We start with a deep-dive assessment of your regulatory obligations, business model, and risk profile. From there, we design fully customized solutions that address specific compliance gaps, support niche asset classes, align with your governance framework, and scale with your growth. Our approach is collaborative and flexible—ensuring our advice fits your firm, not the other way around.

Our team continuously monitors global regulatory developments and regularly participates in industry forums. We also liaise directly with regulators, giving us early insight into evolving expectations and because we work closely with a wide range of firms, we have strong visibility into how peers are responding to emerging risks and regulatory changes. This ensures our clients receive forward-looking advice that is in line with how their peers are operating.

We begin with an assessment of your firm’s regulatory landscape and/or operations to understand specific needs.

  • For newer or evolving firms, we deliver a phased implementation plan that includes integration, staff training, and ongoing support.
  • For mature firms, the assessment leads to tailored support such as advisory input, framework enhancements, or ongoing compliance assistance.

Pricing is based on the scope and complexity of the engagement. We offer flexible models including flat fees and hourly rates.

We also offer ACA Signature, which provides customizable models where you choose a combination of our compliance advisory solutions, managed services, and innovative regulatory technology.

Return on investment (ROI) is measured in a number of ways – business ROI, emotional ROI, and personal ROI for the CCOs that we serve. Business ROI is pure reduction in cost or risk of enforcement. Personal ROI can be time savings for existing staff. Emotional ROI is piece of mind having ACA stand behind your program.

Fill out our contact form to schedule a consultation with one of our advisory specialists.

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