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.

BUILT FOR COMPLIANCE PROFESSIONALS

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.

COMPLIANCE MANAGEMENT PLATFORM MODULE

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

MARKETING REVIEW SOLUTION MODULE

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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