Secondment and Compliance
Staffing Solutions

  1. Compliance Services
  2. Compliance Support Solutions
  3. Secondment and Compliance Staffing Assistance

ACA provides skilled resources on a short to long-term basis to assist firms during times of need, such as personnel transitions or extended absences. We also can assist firms on a routine basis in order to provide fresh perspectives and insight on a firm’s compliance program.

SECONDMENT AND COMPLIANCE STAFFING SOLUTIONS

 

Our secondment and staffing assistance solutions include:

  • providing interim support following the departure of a CCO, compliance officer, compliance associate, or any compliance team member;
  • assisting with staff coverage for short or long-term needs;
  • bridging the gap during the recruiting process for a full-time compliance resource or a compliance employee’s extended leave; and
  • mitigating resource constraints related to rebuilding or enhancing compliance programs in response to regulatory findings or business development.

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.

REQUEST MORE INFORMATION

 

For more information about ACA's compliance support solutions, please contact Sean McKeveny at (412) 253-6330 or Joshua Broaded at (412) 253-6330.

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