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Managed Services for Financial Services

Maximize your time and efficiency

Contact Us About Managed Services

Now more than ever, compliance and risk teams are challenged to increase the effectiveness of their compliance programs, manage with fewer internal resources, ensure high-quality results, reduce turnaround times, and lower costs. We provide our clients with solutions to these challenges while delivering value and improved outcomes. Our dedicated team of compliance and risk professionals has a proven record of providing high-quality results in a timely manner for over 1,000 firms worldwide.


 

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How We Help

Our team has the regulatory and practical compliance experience to assist firms with their ongoing compliance responsibilities. We can help with:

Compliance Staffing and Secondments

Do you need an extra set of hands to get things done? Have you fallen behind on a testing mandate, or do you need support following a regulatory investigation or incident? We can help.

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Compliance Outsourcing and Support

Do you need relief from manual and time-consuming day-to-day tasks? Do you need consistent support to get more done and get back more time in your day? We can help.

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Compliance Staffing and Secondments

We provide support services and solutions for firms that need:  

 

Additional Support Solutions

  • Employee Compliance solution/Code of Ethics support
  • Valuation/pricing analysis
  • Portfolio management, trading, and insider trading reviews
  • Performance dispersion testing
  • Quantitative analysis and reporting
  • Soft dollar eligibility analysis
  • Counterparty exposure tracking and reporting
  • Cross trade, principal trade, and agency cross trade reviews
  • Testing for compliance with Rule 105, Rule 144A, and Sec. 12(d)(1)
  • Client and Investor Interactions
  • Proxy voting and class action participation
  • Side letter obligation tracking and related testing of investment mandate compliance

Why Use Managed Services?

More with Less

  • Streamline processes and reduce costs while improving efficiency
  • Strategically shift cumbersome tasks to optimize team focus on level - appropriate work
  • Increase operational agility to handle unexpected and cyclical staffing needs

Reduce Variable Cost and Operational Risk

  • Eliminate key person risk
  • Benefit from the deep experience of 100+ skilled ACA analysts and consultants
  • Stabilize budget allocations

Maintain Quality and Best Practices

  • Keep pace with regulatory change and industry best practices
  • Access peer benchmarking and insights from 1,000+ clients worldwide
  • Benefit from process and testing recommendations and enhancements

Learn more about how we can support you to get more done while easing the burden of day-to­ day tasks.

 

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Spotlight on Staffing Support and Secondment

The staffing needs for financial services firms are constantly evolving. The ever-changing regulatory landscape combined with the increasing adoption of regulatory technology can make finding and retaining qualified staff with the required proficiencies a challenge for HR departments and recruiters. However, having the proper staffing and supporting resources in place is crucial to maintaining a strong compliance program. Teams that are over-burdened and stretched too thin are more likely to experience burn out and make mistakes.

We can help. Learn more about our staffing and support services.
 

Download Our Case Studies Here