YOUR PARTNER FOR MAKING COMPLIANCE MANAGEABLE

COMPLIANCE & RISK MANAGEMENT, SOLVED

Your business is global. Your presence is expanding. Imagine controlling your compliance and risk functions within a single platform.

For compliance teams, pulling it all together is a complex and laborious process fraught with the perils of what might have been missed along the way. ACM’s compliance management platform makes it easy to monitor your offices, facilitate communication, meet your regulatory requirements, build and maintain a library of your documentation, track workflow, map risk, and complete post-trade compliance testing and reporting. Powered by Ascendant’s experience in the field, ACM tackles the unique challenges faced by financial firms and provides the insight necessary for critical business decisions.

Policies and procedures management, risks and issues management, audit management, all together, at your fingertips. The compliance process is fractured. Make it seamless with ACM.

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POLICY & PROCEDURES MANAGEMENT

  • Maintain and distribute a comprehensive library of policies and procedures (drafts, approvals and revisions) integrated with risks, testing and the Annual Review.
  • Collaboratively change and refine policies, procedures and responsibilities, while maintaining accuracy and alignment with practices.
  • Adopt and maintain current and archived manuals for Books and Records compliance, as well as produce detailed audit trails.

ORGANIZATIONAL COMMUNICATION & WORKFLOW

  • Simplify communication across departments and teams using an integrated Calendar linked to firm policies, risks, tests, certifications and trainings.
  • Easily track the status of a document or project using our multi-conditional workflow tool, designed to accommodate any chain-of-command.
  • Automatically track and funnel workflow and activity data into the corresponding sections of 206(4)-7 Annual Review reporting.

COMPLIANCE & RISK TESTING

  • Enable authorized users to easily access custom test scripts and templates.
  • Easily conduct testing, capture documentation, and identify issues in a single form.
  • Develop a testing & resource schedule, monitor test status and manage identified issues.
  • One-click report generation.

RISK MANAGEMENT

  • Create a uniform framework for managing risk across several entities, affiliates and advisers.
  • Manage existing risks, identify new risks, categorize, weigh impact and likelihood, and map controls to related policies and testing to manage and mitigate exposure.
  • Use the “Snapshot” feature to instantly document an audit trail and summarize risks within the firm.
  • Link identified controls to related policies, tests and certifications.

BRANCH & MULTI-OFFICE MANAGEMENT

  • Streamline communication by assigning workflow directly to inspectors or branch employees.
  • Create custom forms & checklists to easily capture data while executing remote or on-site audits.
  • Easily archive, merge and analyze completed audit reports in a central location.
  • Efficiently distribute new policies & procedures and monitor employee attestations.

REPORTING

  • Facilitate a holistic approach to compliance and risk across your global organization with executive-level report generation.
  • Leverage comprehensive data tracking to produce a broad range of reports— from macro-level trends within your organization to granular, topic-based activity tracking.
  • Fulfill your Annual Review Rule 206(4)-7 requirement based upon aggregated workflow and testing data.
  • Use filters and one-click report generation to seamlessly create and distribute reports within your organization.

MARKETING & ADVERTISING REVIEW

  • Manage the approval process of marketing, advertising and client collateral with the ability to link directly to firm policies.
  • Quickly push projects through stages of the approval process using multi-step workflow, with customized conditions and permissions.
  • Easily track and resolve issues with the flexibility to adjust workflow on the fly in order to best satisfy internal procedures.

ADVISER MANAGEMENT

  • Effectively manage a vast network of advisers with integrated communication and workflow tools (calendar, chat, Outlook integrations, etc.).
  • Distribute materials & forms, monitor completion of adviser assignments through real-time reporting, and manage delinquency with auto-generated reminders.
  • Provide advisers a dashboard of upcoming and outstanding assignments to facilitate the completion of tasks.

EMPLOYEE MANAGEMENT

  • Quickly distribute employee training materials throughout the organization with the ability to quickly identify and resolve delinquencies.
  • Create custom forms to test and document employee comprehension.
  • Leverage internal training materials or purchase Ascendant training programs.
  • Easily manage onboarding of new employees by maintaining standard documents and forms to be assigned upon hiring.

TRADING COMPLIANCE & REPORTING

  • Compare trade executions to industry standard benchmarks.
  • Identify side-by-side management issues and evaluate the fairness of order aggregation and trade sequencing procedures.
  • Detect aberrational performance on a trade-by-trade basis.
  • Compare trade allocations to expected allocations or baseline values for each account.

CODE OF ETHICS MANAGEMENT

  • Pre-clear employee trade requests and connect them directly to firm policies and reporting.
  • Automated and manual approval or denial options.
  • Simple flagging to identify, escalate and record potential violations.
  • Ability to track all approved transactions, statements and annual holdings reports.

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See how ACM saves compliance teams time and money

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© Ascendant Compliance Management — 2020

Ascendant Compliance Manager