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Compliance Services for Financial Services

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ACA Compliance Group is the premier provider of compliance consulting, managed services, technology, and education to financial services firms. Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former senior compliance managers from prominent financial institutions. 


 

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Who We Work With

Our clients know that a tailored, well-functioning compliance program is a key success factor in today’s increasingly challenging business and regulatory environments. We respond to our clients’ needs by developing and maintaining high-quality compliance programs that are customized to each firm’s unique regulatory requirements, business demands, and operational challenges. 

Our clients include: 

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How We Help

We work with global compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes.

 

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Compliance Consulting Services

Our team offers a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value. We help with:   

 

  • Marketing, advertising, and fundraising material reviews 
  • Assistance in preparing firm brochures and other disclosures 
  • Preparation and submission of regulatory filings 
  • Support during actual SEC inspections 
  • Compliance education and training

 


 

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Compliance Managed Services

Our team has the regulatory and practical compliance experience to assist firms with their ongoing compliance responsibilities, including: 

 

 


 

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Compliance Management Technology

Our team has the regulatory and practical compliance experience to assist firms with their ongoing compliance responsibilities, including:

 

 


 

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Compliance Training & Education

 

SOLUTION SPOTLIGHT

Mock SEC Exams

ACA specializes in preparing both US and non-US-based advisers for SEC examinations through our mock SEC audits. Our team of former SEC, FINRA, NFA, FCA, FSA, and state regulators, as well as former senior compliance managers from prominent financial institutions, has the regulatory experience and expertise required to conduct these inspections effectively and efficiently, in very similar circumstances to an actual exam. Following an ACA mock exam, your firm will know what to expect and will be in a position to address any deficiencies.

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