ComplianceAlpha® helps global financial services firms of all sizes to strengthen and streamline risk and compliance management across the enterprise from a single platform. It helps firms to keep pace with the regulators’ evolving requirements and increasing technological capabilities.

Developed by the industry’s largest team of former regulators, financial technologists, and cybersecurity professionals, ComplianceAlpha helps firms automate manual tasks, identify risk through enhanced surveillance capabilities, derive deeper insights through connected data, simplify the submission of requests and disclosures for employees, and free up valuable time for more strategic, higher-value tasks.

Key Features and Benefits

• Integrated system designed to easily scale alongside regulators’ evolving demands and technological capabilities

• Dashboard view of activity across the Compliance Management, Employee Compliance, and Marketing Review solutions puts data at your fingertips for deriving deeper insights to identify potential risk
• Microsoft® Outlook®-integrated calendar for tracking scheduled compliance activities
• Upload and maintain your firm’s compliance policies and procedures and access reference compliance content from ACA’s compliance professionals
• Manage your firm’s employee personal trading and other compliance activities
• Automated personal trading surveillance and easy employee submission of requests and disclosures
• Automated monitoring for insider trading, market abuse, and other potential misconduct
• Full workflow for submitting, reviewing, approving, and archiving marketing and advertising materials
• Cybersecurity risk management tools
• Support for third-party integrations
• Built on a secure cloud platform