Company: A global investment advisory firm managing a diverse portfolio across multiple asset classes.
Location: United States
Financial Services Sector: Investment Management
Background
With over $10 billion in assets under management (AUM) and a growing client base, the firm had developed a complex compliance framework. Over time, its internal processes became fragmented, relying on a mix of manual oversight, disparate surveillance tools, and external legal consultations to manage evolving regulatory obligations.
Challenge
As regulatory scrutiny intensified, the firm’s compliance team faced multiple operational hurdles:
- Labor-intensive monitoring processes: Manual reviews of electronic communications (eComms), AML screenings, and marketing materials consumed significant compliance resources.
- Siloed compliance tools: Limited integration between AML transaction monitoring, eComms surveillance, and trade surveillance reduced efficiency and created blind spots.
- Regulatory pressures: Heightened SEC enforcement around eComms and AML compliance required more structured oversight and real-time reporting.
- Scalability concerns: The firm needed a sustainable compliance model that could scale with business growth without adding headcount.
“As compliance expectations evolved, our fragmented processes made it difficult to maintain consistency. We needed a solution that integrated compliance oversight and minimized resource strain.”
— Chief Compliance Officer, Global Investment Advisory Firm
Solution
Recognizing that internal bandwidth constraints made it impractical to scale compliance operations manually, the firm partnered with ACA to implement a hybrid compliance model. The solution combined managed services and RegTech solutions to streamline operations and improve scalability.
Implemented Solutions:
1. Employee Compliance Surveillance
- Deployed ACA’s Employee Compliance technology to monitor employee personal trading and outside business activities.
- Conducted regular reviews of personal holdings and transaction data to detect potential risks and strengthen regulatory compliance. Identified potential compliance issues and helped mitigate regulatory risks.
- Launched attestation and training programs to reinforce a strong compliance culture across the firm.
2. AML Compliance and Monitoring
- Leveraged ACA’s AML technology to screen clients at onboarding and on an ongoing basis.
- Engaged ACA’s Managed Services team to review flagged items, enhancing risk detection and operational efficiency.
3. Marketing and Advertising Compliance
- Implemented ACA’s marketing compliance solution to automate approval workflows and audit trails.
- Added pre-approval processes to ensure marketing materials aligned with SEC guidelines.
- Conducted independent reviews of disclosures and promotional materials to proactively mitigate compliance risks.
Results
By integrating ACA’s Managed Services and RegTech solutions, the firm achieved significant efficiency gains, such as:
- An 80% reduction in manual compliance tasks, freeing resources for high-value strategic compliance initiatives.
- Accelerated regulatory response times, with structured reporting for SEC examinations and audits.
- Improved risk detection through proactive surveillance.
- A scalable compliance framework to support sustainable growth without additional headcount.
Why It Matters
With regulatory demands on the rise, investment firms must balance compliance efficiency with operational effectiveness. This case study demonstrates how ACA’s hybrid model helps firms:
- Reduce reliance on manual compliance processes.
- Strengthen regulatory preparedness with real-time monitoring.
- Optimize resource allocation through outsourcing and automation.
For firms facing similar challenges, leveraging Managed Services and RegTech is a strategic investment that enhances compliance oversight, mitigates risk, and drives growth.
How We Help
Whether you are looking to launch, grow, or protect your business, we offer tech-driven solutions designed to meet your compliance needs. Our ComplianceAlpha platform combined with our outsourced managed services experts can help you scale compliance operations.
By reducing manual workloads and improving accuracy, ComplianceAlpha combined with our managed services empowers your compliance team to focus on strategic initiatives that drive business growth.
Contact us today to learn how our innovative solutions can transform your compliance strategy and propel your business forward.