Product Spotlight: How ComplianceAlpha Helped a $1B AUM Private Equity/Hedge Fund Manager Modernize its Compliance Program

February 14, 2018 by Glen Froio

Product Spotlight: How ComplianceAlpha Helped a $1B AUM Private Equity/Hedge Fund Manager Modernize its Compliance Program

ACA Technology's Product Spotlight series highlights how ACA's technology solutions can help firms streamline operations, scale for growth, and meet business objectives effectively and efficiently.

Today's product spotlight focuses on ComplianceAlpha®, ACA's secure, centralized platform for risk and compliance program management.

Client Type: A Dual-Entity Private Equity and Hedge Fund Manager with $1B AUM

The Challenge

A dual-entity private equity and hedge fund manager with approximately $1 billion AUM needed to build a universal risk assessment and compliance program testing regime under time and resource constraints that limited the ability of the firm's compliance staff to adequately design and implement an effective solution.


The ACA Technology Solution

The firm implemented ComplianceAlpha’s Compliance Management Platform (CMP) module. In addition, the firm worked with a dedicated resource from ACA's Analysis and Review Center in developing the firm’s unique risk matrix and compliance program metrics within the CMP module.


Benefits

The firm leveraged ACA's integrated technology and compliance consulting solution to build out the firm’s risk matrix and compliance program in a timely manner. In addition, the firm leveraged the subject matter expertise of ACA's compliance consulting team as well as the efficiency of ComplianceAlpha to help support the design, implementation, testing, and related reporting of the firm’s universal compliance program, all with limited resources.

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About the Author

Glen Froio is a Partner with ACA Technology Solutions. He is responsible for leading the organization’s expansion into global markets and its next phase of growth as a technology innovator. Glen enjoys working with ACA Technology’s clients, helping them solve their most complex technical challenges and improving their business efficiency. He was a founding partner and CEO of NorthPoint prior to partnering with ACA Compliance Group to establish the new division, ACA Technology Solutions. Along with his executive team, Glen led NorthPoint from a start-up operation to a leading provider of financial software solutions to the capital markets. Prior to joining NorthPoint, Glen was the Senior Vice President of Operations and Business Development for Stride and Associates, where he mentored and led a team of over 350 employees across 27 offices and 18 cities. Glen was responsible for sales and marketing strategy, growth and development of the senior management teams, forecasting and execution against sales goals, and driving operational excellence throughout the firm.

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