Introducing ComplianceAlpha

ComplianceAlpha LogoComplianceAlphaTM serves as the central hub for managing your firm’s compliance workflows by integrating risk assessment and regulatory requirements; compliance controls, policies, and procedures; compliance activity tracking and testing; and marketing and advertising reviews. It is a modular platform that can be tailored to meet your business needs.


ComplianceAlpha was developed in conjunction with ACA Compliance Group’s regulatory compliance team of former regulators and senior-level compliance professionals. This unique combination of technical and regulatory expertise provides compliance departments with the tools they need to monitor their compliance programs and keep up with ever-changing regulatory priorities.


The Compliance Management Platform (CMP) module identifies applicable compliance risks and controls, and captures data from compliance activities across your firm for monitoring and analysis.

  • Monitor your firm’s compliance activity from a robust dashboard
  • Analyze the results of compliance tests and identify issues that require tracking and resolution
  • Upload, edit, and maintain compliance policies and procedures
  • Maintain documents supporting compliance testing results and issue resolution
  • Run standard and ad hoc reports
  • Use the compliance calendar to create and view scheduled compliance activities
  • Notify select departments or personnel of scheduled compliance activities
  • Access results of internal compliance testing and reviews, as well as ACA reviews and testing support
  • Permit access to ACA consultants and analysts to support content and compliance testing


The Marketing Review Solution (MRS) module provides a full management workflow for reviewing and submitting marketing and advertising materials.

  • View the status of each submission on a robust dashboard
  • See materials that have recently been electronically filed with FINRA
  • View a complete work log of all submissions and reviews
  • Run metric reports for business owners
  • Create a tailored process for reviewing and approving submissions
  • Customize submission forms with user-defined fields
  • Upload materials to FINRA for review
  • Search the electronic archive of materials
  • Use the included annotation tools to edit and comment on PDF files


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