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ComplianceAlpha® Risk and Compliance Management Platform for Financial Services


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ACA's ComplianceAlpha® enables financial services firms around the globe to strengthen and streamline their risk and compliance management programs from a single platform. Available on desktop and mobile devices, ComplianceAlpha helps firms to keep pace with the regulators’ evolving requirements and increasing technological capabilities.

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Developed by ACA's team of former regulators, regulatory technologists, and cybersecurity professionals, ComplianceAlpha helps firms automate manual tasks, identify risk through enhanced surveillance capabilities, derive deeper insights through connected data, increase employee compliance, and free up valuable resources.

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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
  • Mobile app now available for certain functionality
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Employee Compliance

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

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Market Abuse Surveillance

ACA's Decryptex® Market Abuse Surveillance solution automates trade surveillance and trade monitoring to help firms manage their insider trading risk in a way that meets regulatory expectations and industry best practices.

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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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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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ComplianceAlpha?

 

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