HOW WE HELP
ACA's secondment and staffing solutions are completely customizable for all levels of seniority to meet short or long-term needs. We provide seamless temporary compliance team additions without the HR onboarding process, training requirements, and employee-related benefit costs.
Sample Secondment Engagements include:
- reviewing employee personal securities trading;
- updating compliance logs, including gifts, entertainment, and political contributions logs;
- reviewing employee outside business activities;
- testing trade blotters for allocation issues, unusual commissions, trading errors, principal trades, cross trades, and other concerns;
- conducting OFAC/SDN checks of employees, clients, and investors;
- performing Internet searches to identify social media compliance and marketing issues as well as unreported political contributions;
- reviewing electronic communications; and
- assisting with compliance-related special products.
