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ComplianceAlpha

Streamline risk and compliance management across the enterprise from a single platform

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.

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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.

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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

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Employee Compliance

ACA's Employee Compliance solution helps your firm identify potential conflicts of interest through automated employee personal trading surveillance. It also helps your firm’s employees easily submit approval requests and disclosures for gifts and entertainment, political contributions, and outside business activity.

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Trade Surveillance

ACA's Trade Surveillance technology solution provides in-depth trade surveillance to help your firm identify potential insider trading, market abuse, and other potential misconduct. The solution includes a case management tool that can track and store emails, reports, and research related to each investigation.

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Marketing Review

ACA's Marketing Review solution helps your firm’s marketing and legal teams easily manage workflows for reviewing, approving, and submitting marketing and advertising materials.

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Compliance Management

ACA’s Compliance Management solution provides your firm with a governance, risk, and compliance technology platform that helps compliance teams to effectively and efficiently manage compliance program activities and identify potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

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Cybersecurity

Helps your firm’s IT and security teams manage cybersecurity and technology risk management tasks as well as foster employee cybersecurity awareness.

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Cybersecurity solution

ComplianceAlpha Case Studies

Client Type: A Global Asset Manager with >$100B AUM

A global asset management firm with >$100 billion in assets under management (AUM) across four geographic regions needed a single solution to centralize the firm's compliance approval reviews of marketing materials across regions and distributed teams. Each team had unique data capture and approval workflows required to meet their diverse business needs. The firm’s U.S.-based division needed an easy way to submit marketing materials to FINRA while capturing and storing all approval process steps and data in a WORM-compliant format per regulatory requirements. In addition, the firm had an existing legacy solution and wanted to migrate over 100GB of data to a new solution.

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Client Type: A Private Equity Fund Manager with $1B AUM

A growing multi-affiliate private equity fund manager with approximately $1 billion assets under management was manually tracking its compliance tasks and reviewing marketing materials through email. In order to more efficiently manage its increasing compliance responsibilities, the firm wanted to implement a solution that would help streamline and automate these tasks.

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Client Type: A Dual-Entity Private Equity and Hedge Fund Manager with $1B AUM

A dual-entity private equity and hedge fund manager with approximately $1 billion AUM needed to build a universal risk assessment and compliance program testing regime under time and resource constraints that limited the ability of the firm's compliance staff to adequately design and implement an effective solution.

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Client Type: A Growing Investment Adviser/Wealth Manager with $1.5B AUM

An investment advisory and financial planning firm managing over $1.5 billion in client assets experiencing growth in its advisory business required updates to its compliance and marketing review program infrastructure, which was limited by inefficiencies in its manual review processes.

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Client Type: An Investment Adviser with $25B AUM

An investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels had difficulty managing the volume of marketing materials that needed to be approved by designated supervisors and departments, resulting in delays in the review process.

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