Regulatory compliance remains a moving target for firms operating across multiple jurisdictions. Enforcement priorities continue to change requiring firms to adapt to growing regulatory complexity.
A fragmented compliance approach can create significant risks in this environment. Without alignment across jurisdictions, firms may face:
- Different reporting requirements for each regulator, creating unnecessary workload.
- Misaligned policies, which may leave vulnerabilities in risk management.
- Inconsistent adherence to compliance obligations, which can result in fines or enforcement actions.
We’ve developed a comprehensive checklist to help firms reporting to the UK Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), or National Futures Association (NFA) take a proactive and structured approach to compliance, covering key regulatory priorities across major global financial bodies.
Download now to assess your firm’s compliance framework, identify potential gaps, and strengthen internal controls.
Key regulatory priorities across jurisdictions
Operating in multiple jurisdictions presents unique compliance challenges as each regulatory body enforces different priorities. However, there are common themes that firms can leverage to build a cohesive, scalable compliance framework.
Here are some of the key regulatory priorities firms should account for when structuring their compliance programs:
- FCA – Market integrity, competition, consumer protection, operational resilience
- ESMA – Risk mitigation, transparency, investor safeguards
- SEC – Cybersecurity, disclosures, compliance oversight
- FINRA – Broker-dealer obligations, integrity, conduct
- NFA and CFTC – Financial integrity, derivatives oversight
By identifying overlapping priorities, firms can streamline compliance efforts and reduce redundancies.
How to build a scalable compliance framework
Rather than treating compliance as a check-the-box exercise, firms should take a risk-based approach to meet regulatory expectations effectively.
Map out regulatory overlaps
- Identify areas where compliance requirements converge, such as anti-money laundering (AML) obligations, cybersecurity expectations, and reporting standards.
- Create a single policy framework that incorporates commonalities while allowing for jurisdiction-specific adjustments.
Leverage technology for compliance efficiency
- Use compliance automation tools to track regulatory changes, manage reporting, and monitor risks in real time.
- Implement centralized data management to maintain consistency across filings and disclosures.
Enhance internal controls and governance
- Strengthen internal audit functions to assess regulatory compliance across multiple jurisdictions.
- Establish clear reporting lines between compliance teams, executive leadership, and regulators.
How we help
Managing compliance across multiple regulatory bodies requires a strategic, well-structured approach that accounts for overlapping requirements and emerging risks. ACA Group provides comprehensive compliance support to help firms strengthen their frameworks and stay aligned with regulatory expectations.
- Expert advisory and managed services – Gain tailored compliance solutions, from regulatory filings and AML reviews to cybersecurity risk management and governance enhancements.
- Regulatory technology and automation – Leverage ComplianceAlpha® to streamline monitoring, reporting, and oversight, reducing the burden of manual compliance tasks.
- Ongoing compliance support – Access scalable consulting and outsourced compliance officer solutions to help manage evolving requirements and day-to-day obligations.
Contact us today to learn why leveraging our specialized expertise, advanced technology, and refined processes provides you with tailored and scalable solutions to help you launch, grow, and protect your business.