The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.
Our GRC solutions
Our solutions integrate expert consulting, on-demand managed services, and our scalable ComplianceAlpha® technology platform that help over 3,500 leading Financial Services firms protect and grow their business.
Addressing complex GRC challenges across your firm
- Regulatory Change
- Risk Mitigation
- Cyber & Operational Resilience
- Digital Transformation
- Resource Constraints
- Oversight & Transparency
- Scalability & Optimization
- Key Person Risk
Delivering scalable GRC solutions tailored to your business
- Expert consulting: Strengthen your compliance program and gain clarity on regulatory change and industry best practices
- On-demand managed services: Maximize your firm's time and efficiency by offloading manual and time-consuming tasks
- Scalable, award-winning technology: Build a more comprehensive and resilient compliance program with ComplianceAlpha®
ACA Group Announces ComplianceAlpha® 2021Q2 with New Features Designed to Help Financial Services Firms Meet Increasing Demands for Digitizing Compliance Programs
ComplianceAlpha 2021 Q2 introduces a suite of new features and sophisticated technology enhancements designed to help firms globally build more comprehensive and scalable GRC programs in line with the expectations of regulators, boards, management, clients, and investors.
Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform
Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).
This course is specifically designed to assist Senior Management in meeting their statutory and regulatory obligations.