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ComplianceAlpha® Risk and Compliance Management Platform

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Trade Surveillance | Employee Compliance | AML KYC/CIP | Third-Party Risk Management | Compliance Program Management | Marketing Reviews | Cybersecurity
 

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 increasingly sophisticated oversight capabilities.

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Developed by ACA's team of former regulators, compliance professionals, 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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trade surveillance dashboard

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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AML KYC/CIP

ACA’s AML KYC/CIP offering is designed to assist your firm in developing and implementing effective AML practices that meet industry best practices and comply with applicable laws and regulations in the U.S., Europe, and Cayman Islands. Our solution combines ACA’s ComplianceAlpha® regulatory technology with ACA’s managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.

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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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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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marketing review solutions

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

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ComplianceAlpha?

 

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