Compliance Solutions for Wealth Managers
Meet regulatory obligations while protecting your firm from reputational and financial risk.
ACA's dedicated wealth manager practice, ACA Wealth, offers unmatched GRC experience and expertise for wealth management firms.
Our team of expert consultants, with years of experience serving the wealth management community, are adept at navigating how today’s complex rules and regulations impact wealth managers.
Today, nearly 2,000 wealth management firms trust ACA for their compliance, technology, and cybersecurity needs.
How we help
Our unique blend of compliance advisory, managed services, cybersecurity, and technology paired with the expertise of ACA’s dedicated wealth management team means you'll have access to full service GRC solutions that can grow with you and your firm.
Signature Compliance Programs
The ACA Signature programs provide comprehensive solutions for wealth management firms. Each package covers a firm’s primary compliance needs, with the optionality to add services, like email reviews, personal trade reviews, cybersecurity programs, and more.
ACA Signature offers the flexibility to pick the combination of consulting, technology, managed services, and cybersecurity services that work best for your firm.
ACA Signature for Wealth Managers provides year-round support to assist with the development and maintenance of your compliance program.
Registration Services
Registering a new investment adviser is complicated and nuanced. Let us handle the registration process for you so you can focus on important decisions that impact your business.
Our process is accurate and efficient so you can start running your business sooner.
Our team also supports transitions between state and SEC registrations.
Mock Regulatory Exams
Our team of former regulators and seasoned compliance professionals have designed mock exam programs based on their experience working with a variety of wealth management firms.
We know what to look for because we have seen it all, and have successfully navigated wealth managers through their own regulatory exams.
Let ACA test your firm’s preparedness for regulatory scrutiny and provide you with guidance to strengthen your firm’s compliance program before your next regulatory exam.
Outsourced Managed Services
Maximize your firm’s time and efficiency with our specialized compliance analysts who can support strategic and day-to-day tasks. Our managed services are a cost-effective offering, designed to ease your burden. Our outsourced team will work alongside your compliance officer to complete essential tasks.
These services can include Electronic Communications Reviews, Code of Ethics and Personal Trade Support, Regulatory Filing Support, Marketing and Advertising Reviews and more.
These services may be provided as standalone services or as part of an ACA Signature compliance program.
Cybersecurity Risk Assessments and Monitoring
Establish the essentials needed to support your ongoing cybersecurity responsibilities while meeting increasing regulatory and investor expectations.
ACA Aponix® Cyber Foundations is the ideal solution for wealth managers and firms with simple IT environments and limited business changes on the horizon. This straight-forward offering helps keep your firm safe from evolving regulatory cyber threats.
ACA Aponix® Cyber Foundations may be provided as a standalone service or as part of an ACA Signature compliance program.
Regulatory Technology
ACA's ComplianceAlpha® RegTech solutions platform integrates risk and compliance management activities, trade surveillance and monitoring, compliance program testing, and in-depth analytics to help risk and compliance officers simplify and streamline their compliance management responsibilities.
Wealth managers can simplify their day-to-day by leveraging any of the following ComplianceAlpha modules:
- Employee Compliance Management RegTech solution - streamline personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more.
- Compliance Management RegTech solution - manage compliance program activities and identify potential issues effectively and efficiently.
- Electronic Communications Surveillance - Increase the effectiveness of your electronic communications (eComms) surveillance operations while reducing the cost of compliance. Our eComms Surveillance Solution provides a single view of potential behavior risks across your firm.
Make decisions with confidence
ACA’s dedicated wealth manager practice, ACA Wealth, offers unmatched GRC experience and expertise for wealth management firms.
Our team of dedicated regulatory compliance professionals specializing in the needs of Wealth Managers includes former SEC and state regulators, as well as former senior managers from prominent financial institutions and advisory firms.
Partner with ACA for Peace of Mind
Tailored Solutions for Wealth Managers
You need solutions that meet your needs, fit your budget, and consider the complexity of your firm’s unique compliance requirements.
Our unique blend of regulatory compliance, managed services and technology paired with the expertise of ACA’s Wealth practice means you'll have access to full service GRC solutions that can grow with you and your firm.
Recent Insights for Wealth Managers
