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Introducing ComplianceAlpha

ComplianceAlpha LogoComplianceAlpha® is a centralized platform for managing your firm’s compliance program. It is a modular system that integrates risk assessment and regulatory requirements; compliance controls, policies, and procedures; compliance activity tracking and testing; marketing and advertising reviews; and cybersecurity and technology risk management tools.


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 results in a software toolkit that allows compliance departments to efficiently monitor their compliance programs and stay current 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 items of interest
  • Upload, edit, and maintain compliance policies and procedures
  • Maintain documents supporting compliance testing results and issue resolution
  • Run standard reports, subscribe to and schedule reports via email, and export data to Microsoft Excel®
  • Create and track compliance tasks with a Microsoft® Outlook®-integrated calendar
  • Track conflicts of interest
  • Receive notifications when compliance activities require your attention
  • Access results of internal compliance testing and reviews
  • Access reference content updated by ACA's compliance consultants


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

  • View the status of submissions, receive notifications, and visualize your workload
  • Search the electronic archive of materials
  • View a complete work log of all submissions and reviews
  • Run metric reports for business owners
  • WORM-compliant storage of submission record available
  • Create a tailored workflow for reviewing and approving submissions
  • Customize submission forms with user-defined fields
  • Upload materials to FINRA for review
  • Comment on PDFs using included annotation tools
  • Upload files up to 500MB each