What compliance functions can ACA support through Managed Services?

AML due diligence, sanctions screening, marketing review, and core compliance task execution.

Can ACA help firms manage global AML onboarding and screening requirements?

Yes—covering due diligence, onboarding, screening, and monitoring to meet global AML standards.

How does ACA support Marketing and Financial Promotions review?

By reviewing pitchbooks, emails, and other content for SEC, FCA, and ESMA compliance.

What is included in core compliance task outsourcing?

Regulatory calendar execution, compliance tracking, policy reviews, and flexible staffing.

Can ACA provide temporary compliance staff or secondments?

Yes—short-term and ongoing secondments to fill key compliance roles.

How do firms maintain control while outsourcing compliance tasks?

Firms retain final oversight and decision-making while ACA executes tasks per their policies.

What systems does ACA use to deliver its services?

Services run on ACA’s ComplianceAlpha ® platform or within clients’ existing systems.

Does ACA support multi-jurisdictional compliance teams?

Yes—structured to handle U.S., U.K., and EU regulatory frameworks.

How does ACA ensure consistent execution across compliance tasks?

Standardized procedures and escalation logic ensure repeatable, policy-aligned work.

Home Advisory Compliance Advisory U.S. Compliance Program Development and Enhancement

U.S. Compliance Program - Development and Enhancement Services

Your partner in navigating the changing risk and compliance environment.

The regulatory landscape is constantly evolving. With new rules and regulations being proposed and adopted, it’s essential that your compliance program evolves with them.

Concerned about whether your compliance program is up to date? ACA’s Compliance Advisory team is here to be your trusted partner.

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What Do You Need Help With?

Beyond ongoing support for compliance manual maintenance, our ACA Compliance Advisory team offers expert guidance on a wide range of emerging and complex compliance challenges.

Compliance Manual Development & Enhancement for RIAs and ERAs

Develop a tailored compliance manual that includes policies and procedures for SEC-registered investment advisers, ensuring alignment with Rule 206(4)-7 under the Advisers Act and/or other regulatory expectations for U.S. investment advisers.

Written Supervisory Procedures for Broker-Dealers

Assess and develop customized written procedures that comply with the securities regulatory requirements applicable to broker-dealers and reflect industry best practices.

Compliance Manual Development & Enhancement for NFA Member CPOs, CTAs, and IBs

Create a tailored NFA/CFTC-focused compliance manual and a review of relevant policies and procedures for NFA Member Commodity Pool Operators (CPOs), Commodity Trading Advisers (CTAs), and Introducing Brokers (IBs), in line with the NFA Rules and the Commodity Exchange Act (CEA).

AML and Financial Crime Policies and Procedures

Stay on top of financial crimes-related threats, risks, and regulatory concerns with AML consulting support. We can support independent testing and risk assessments, as well as the development of policies and procedures related to AML, Know Your Customer/Customer Due Diligence (KYC/CDD), the Foreign Corrupt Practices Act (FCPA), and anti-bribery compliance.

ESG Advisory

Develop policies and manage programs including carbon footprinting, climate risk scenario analysis, net-zero management, diversity, equity, and inclusion baselining and training, portfolio performance assessment, Sustainable Finance Disclosure Regulation reporting, and marketing and disclosure reviews.

Liquidity Risk Management Program Rule

Our investment company team will help you to navigate the SEC’s liquidity risk management program rule through the development of policies and procedures, annual assessments, and program management.

Regulation Best Interest and Form CRS

Our experts can help broker-dealers understand the compliance and operational issues presented by Regulation Best Interest (Reg BI) as they relate to their retail business. Our consultants can assist in designing customized procedures that will detail the steps needed to address Reg BI’s requirements as they relate to your firm.

SM&CR Compliance Solutions

Post-implementation, review your documentation, framework, and internal process, receive a gap analysis, as well as senior manager and conduct rule training for compliance enhancement.

Not Sure Which Solution You Need?

Simply book a call with one of our specialists. They will guide you through the U.S. regulatory compliance consulting services available and help tailor a plan to suit your firm’s specific needs.

Human-Led Compliance, Supercharged by Technology

Enhance your compliance program with technology built by experts who understand the regulatory landscape. From communications and trade surveillance to employee compliance and marketing review, our ComplianceAlpha^® platform helps streamline day-to-day tasks, increase transparency, and ensure your firm stays ahead of regulatory change.

Why ACA?

Discover the ACA difference in compliance excellence, where skilled specialists, innovative technology, and tailored solutions enhance efficiency, reduce risk, and deliver unparalleled results.

Expertise and Guidance

Access to former SEC, FCA, FINRA, NFA, CFTC, DFSA, FSRA, and state regulators, as well as specialists, for tailored global advice.

Compliance Assurance

Gain assurance through our experience. Adapt to evolving standards and minimize risk.

Operational Efficiency

Streamline and enhance compliance processes and become more effective.

FAQs

U.S. Compliance Program - Development and Enhancement Services

Why is it important for firms to regularly update their compliance program?

Compliance programs are required to be reasonably designed to prevent violations from applicable regulations, and the regulatory landscape is constantly evolving. Staying current helps mitigate risk, avoid penalties, and ensure your firm remains aligned with industry best practices.

What types of compliance challenges can ACA help firms address?

Our Compliance Advisory team supports a wide range of issues—from regulatory requirements established by the SEC, FINRA and NFA registration, AML/KYC and ESG program development to Brexit-related updates, LIBOR transition planning, and MiFID II compliance reviews.