Ascendant Compliance Manager


The Ascendant Compliance Manager is a comprehensive tool to manage and analyze compliance and operational risks to a firm and to stay up to date on regulatory requirements and compliance alerts. The Ascendant Compliance Manager offers the busy compliance professional a centralized place to find compliance resources, risk inventories and matrices, to manage risk within their firm and to develop reporting and task management directly within the tool.

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Distribute timely, targeted information, communications, and Alerts throughout your organization.
  • Keep current with new investment adviser rules, regulations, and regulatory insight from speeches, enforcement cases Ascendant Compliance and other sources relevant to your organization
  • Use the work flow feature to communicate with personnel and business units regarding Alerts by identifying items to be addressed; schedule tasks and assign workflow
Manage existing risks, identify new risks, categorize, weight impact and likelihood, and monitor necessary controls.
  • Create risk assessments
  • Maintain risk inventories
  • Manage risk holistically within the firm using the work flow and calendar features
  • Create a uniform framework for managing risk across several entities, affiliates, and advisers
  • Use the “Snapshot” feature to document and summarize risks within the firm at any point in time
Maintain compliance Policies & Procedures as a working document through an interactive web-based platform.
  • Add and create policies and procedures based upon new rules and the identification of organizational risk
  • Easily change and refine policies, procedures, and responsibilities,maintaining accuracy and alignment with practices
  • Structure manual sections logically according to compliance categories and subject matter
  • Adopt and maintain current and archived manuals for Books and Records compliance
  • Utilize with the Risk Manager to demonstrate how identified risks are mitigated through Policies & Procedures
Aggregate and maintain new investment adviser rule releases, regulatory and Ascendant alerts, no-action letters, law firm briefs, white papers, and webinars.
  • Available throughout all of the modules
  • Ability to upload your own documents and attach to any alert, risk line item, task or calendar entry
  • Functions as a repository for documentation, reporting, and evidence of monitoring
Efficiently manage the distribution of new policies and regulatory information.
  • Electronic evidence of employee attestations
  • Use Ascendant templates or customize your own for any purpose
Simplify your trade blotter data analysis process and meet regulatory requirements.
  • Validate your investment management and trading methodology
  • Verify the accuracy of your disclosures
  • Determine the fairness of your pricing process
  • Test allocation and sequencing procedures
  • Analyze broker participations and performance for Best Execution analysis
  • Discover errors, cross trades, principal trades, allocations, window dressing, and other trading patterns
Fulfill your Annual Review 206(4)-7 requirement based upon aggregated, automated workflow and testing.
  • Evidence your ongoing, logged compliance activities as part of your review and testing process
  • Incorporate Risk Management and control validation directly to your Annual Review
  • Verify the effectiveness and accuracy of Policies and Procedures from within your manual
  • Generate detailed reporting related to compliance activities for specific timeframes

More Information

Ascendant offers innovative compliance consulting: we are solution providers who bring our clients customized compliance and operational solutions that allow them to focus on growing their businesses. We provide defined outcomes and support services tailored to what each client needs. Leveraging from the thousands of firms we have visited and serviced over the years, we prepare best practice procedures that will help preserve your hard-won reputation.


Ascendant Compliance Management can help your business put compliance into perspective by guiding you through the regulations. By ensuring that senior management understands compliance controls arrangements, we aim to ensure that good compliance becomes an integral part of the way your firm conducts business. Our philosophy is straightforward: compliance should not be difficult. By removing the complexities and addressing misapprehensions, we aim to make compliance a source of strength for our clients.