Outsourced Compliance Testing Services
Scale your testing program without increasing headcount.
ACA’s Outsourced Compliance Testing services enable firms to execute annual compliance testing plans efficiently and accurately. We deliver regulator-ready documentation, identify exceptions, and support remediation, so your firm stays exam-ready year-round without overburdening internal resources.
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Compliance Testing Services We Offer
ACA delivers end-to-end support for regulatory compliance testing programs, designed to meet the expectations of global regulators and internal governance frameworks. Our services are structured to ensure defensibility, consistency, and actionable insights across your compliance lifecycle.
Annual Testing Plan Development
We design comprehensive testing plans aligned with your firm’s risk assessment, regulatory obligations (e.g., the SEC, FCA, NFA), and operational structure, ensuring coverage of high-risk areas and thematic priorities.
Sampling Methodologies and Exception Management
We apply statistically sound sampling techniques, document exception handling procedures, and maintain issue logs with root cause analysis and remediation tracking.
Execution of Specialized Testing Modules
Our team conducts targeted reviews across key compliance domains, including marketing and advertising, best execution, personal trading and code of ethics, electronic communications (eComms), valuation practices, and asset safekeeping.
Board and Senior Management Reporting
We produce executive-ready management information reports with trend analysis, exception summaries, and actionable recommendations tailored for governance bodies, audit committees, and senior leadership.
Access Scalable Support for Your Compliance Testing Program
Let’s discuss how our Outsourced Compliance Testing Services can help your firm stay exam-ready while optimizing resources.
Why Firms Choose ACA for Compliance Testing
ACA combines deep regulatory expertise with scalable delivery models to help firms meet testing obligations without adding headcount. Our experienced teams and technology-enabled workflows ensure accuracy, consistency, and defensibility across your compliance program.
Experienced Testing Teams with Regulatory Insight
Flexible Co-Sourcing Models
Technology-Enabled Efficiency
FAQs
Can ACA use our existing templates, workflows, and systems?
Yes. ACA can fully integrate with your internal frameworks, including proprietary templates, governance, risk, and compliance platforms, and data sources. Alternatively, we can provide standardized documentation to ensure consistency and audit readiness.
Can ACA help us design a regulator-aligned annual testing plan?
Yes. ACA builds testing plans that reflect your firm’s risk profile, regulatory obligations, and operational complexity, ensuring coverage of both core and emerging compliance risks.
Can ACA execute testing across multiple entities, jurisdictions, or business lines?
Yes. ACA’s team supports global firms with multi-entity testing programs, ensuring consistency in methodology, documentation, and reporting across geographies and regulatory regimes.
Can ACA assist with remediation and validation of identified issues?
Yes. ACA partners with your team to design corrective actions, perform validation testing, and document remediation outcomes in a format suitable for internal audit and regulatory review.
Can ACA provide reporting that meets governance and regulatory expectations?
Yes. ACA’s MI (management information) reports are tailored for senior stakeholders and include exception trends, control effectiveness insights, and recommendations aligned with regulatory expectations and best practices.
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