Risk Management Services

SEC and FINRA regulators expect that firms take risk management into consideration when developing their compliance programs. Compliance policies should be customized to the firm's unique operational risks as a best practice in risk management.  To help our clients develop and maintain risk-based compliance programs, ACI conducts risk assessments (or risk audits) for our clients where key documents are reviewed in order to advise on a proper risk management and compliance program. Following the risk assessment, a risk management report is drafted in order to develop a stronger risk management program.

Risk Assessment

ACI conducts on-site operational risk assessments or risk audits to identify key areas of risk and develop a compliance program that aims to mitigate those risks. ACI's risk assessment includes comprehensive review of your internal compliance systems, policies and procedures, record-keeping practices, client suitability issues, appropriate risk controls and overall compliance culture.  This risk management review utilizes the same methodology utilized by the SEC and FINRA. The findings of this review will provide the basis and foundation for developing a relevant and appropriate ongoing compliance program to ensure adherence to ever-changing regulatory requirements. 

Risk Management Report

Following an onsite Risk Assessment, ACI provides our clients with a verbal summary of findings and can develop a written document, "risk report", if desired by the client summarizing the finding of the risk assessment or risk audit and outlining recommendations and measures the firm should or plans to pursue in order to develop a stronger risk-based compliance program. This report can be used by your firm for added transparency and to promote investor confidence - showing that your firm is appropriately addressing risk-related issues and accounting for them in a strong risk management and compliance program.

In today's marketplace, minimizing your firm's risk is more important than ever, and ACI is fully equipped to provide you with cost-effective risk management programs and audits that fit your unique company needs. 

Contact Us: For a complimentary risk management consultation email info@acisecure.com.