Company: Diversified alternatives firm with strategies across private equity and private credit
Locations: Global presence operating across multiple regions
Industry: Asset Management
Background
Operational Complexity and Compliance Challenges
A leading alternative asset manager with a global footprint and a diversified portfolio sought to accelerate growth and broaden its offerings to meet evolving investor demand. To support this strategy, the firm relied heavily on expert networks to inform investment decisions. While critical to its process, this reliance introduced operational complexity and compliance challenges that slowed deal execution and strained internal resources.
Challenge
Bottlenecks Impacting Speed and Oversight
Despite a strong investment process, the firm faced several critical challenges:
- Manual compliance processes: Reviews were time-consuming and resource intensive.
- Scheduling bottlenecks: Coordinating expert calls across multiple time zones delayed workflows.
- Surveillance gaps: Missed calls created knowledge gaps that impacted decision-making speed, potentially increasing regulatory risk.
Solution
AI-Powered Operational Efficiency
The firm partnered with ACA to implement Research Compliance Solutions, a platform powered by Encore AI to streamline and safeguard research activities. Designed to help firms manage compliance obligations while improving efficiency, the solution centralizes research into a single searchable repository and delivers AI-generated transcripts and summaries for missed calls. What once took hours of manual searching could now be done in seconds, allowing deal teams to retrieve critical insights instantly and keep workflows moving.
Implementation was fast and effortless. ACA’s team managed all onboarding and integration, so internal teams experienced virtually no burden or disruption. The solution was fully operational within two business days, with no changes required to existing research workflows.
Compliance teams gained efficiency without adding headcount, and front-office teams benefited from faster access to information, enabling quicker and more informed decision-making. The solution simplified compliance oversight but also transformed a key front-office function, positioning the organization to operate with greater speed and confidence.
Why It Matters
Compliance as a Catalyst for Front-Office Efficiency
Compliance teams rarely have the chance to drive front-office transformation while improving their own efficiency. ACA’s Research Compliance Solutions, powered by Encore AI, makes this possible. As compliance teams face mounting pressure to control costs and deliver more with less, our solution provides a clear path to measurable results.
This case demonstrates how ACA helped a global alternatives manager increase both speed and oversight. By combining deep regulatory expertise with a scalable, AI-powered platform, the firm eliminated manual bottlenecks, reduced risk, and positioned itself for growth.
Simplifying Complexity, Delivering Confidence
ACA combines regulatory expertise, hands-on support, and advanced technology to help firms stay ahead and operate efficiently. Our Research Compliance Solutions, powered by Encore AI, streamline complex processes and reduce the burden on internal teams. We partner closely with clients to ensure smooth implementation and lasting results, enabling operational excellence and resilience in complex regulatory environments.
Want to enhance your compliance strategy with scalable AI and regulatory expertise?
Connect with ACA’s team to learn how our Research Compliance Solutions can help your firm stay ahead of regulatory demands while driving operational efficiency.