Accounting & Compliance International Services

ACI is a premier service provider of accounting and FINOP services for broker dealers and compliance consulting, audit, and software solutions for broker dealers, investment advisors and hedge funds. ACI works with or clients to provide cost-effective and comprehensive programs that meet the firm's business and regulatory needs. Through our affiliate relationships, we are able to provide our clients with a number of additional and complimentary services and make recommendations on which of these services would most benefit their firm.
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Accounting and FINOP Services
ACI's accounting team brings our clients over 25 years of experience handling the full range of accounting services for financial industry clients. We provide oversight and accuracy to our clients in all accounting matters, including, but not limited to bank reconciliation, brokerage statement analysis, financial statement preparation, preparation of monthly net capital, FOCUS reporting, Fin-Op outsourcing, FINRA examination support, and entity/personal taxation.

Broker Dealer Accounting

Investment Advisor Accounting

Compliance Consulting, Audit, and Software Solutions
ACI's compliance outsourcing programs are customized to meet the needs of the individual client. We manage the complete compliance process, allowing our clients to focus on the development of their businesses. The primary services that we offer our clients include, but are not limited to, registrations, risk assessments, due diligence, best execution, regulator filings, creating and maintaining a code of ethics, and providing well-refined compliance manuals. Our team will provide assistance in ensuring that your firm is fully compliant with FINRA, the SEC, or any other regulatory body that governs your business operations.

Broker Dealer Compliance

Investment Advisor Compliance

Hedge Fund Compliance

Futures Compliance

Risk Management (Assessments and Analytics)
ACI provides our clients with sophisticated insights and well-thought out preventative measures to optimally manage risk. By conducting an on-site Risk Assessment, ACI can work with your firm to develop a tailored risk management program. Through our first-in-class service provider partnerships, ACI can also provide our clients access to cutting-edge risk analytics software that uses algorithmic analytics to identify risk in a number of business areas. Our risk management solutions include but are not limited to risk analytics around liquidity risk exposures, potential fraud indicators, loss statistics, risk decompositions, and return attribution. Through these analytics we provide our clients sophisticated insights, preventative recommendations, implementation of standard procedures, and risk reporting.

Please contact us by phone 212-668-8700 or info@acisecure.com to learn more.