ACA Compliance Group Launches Next-Generation RegTech Platform

October 1, 2019

New compliance and risk management platform from the industry’s largest team of former regulators, financial technologists, and cybersecurity professionals helps global financial services firms to strengthen and streamline their risk and compliance program across the enterprise from a single location.

ACA Compliance Group (ACA), a leading provider of governance, risk, and compliance advisory services and technology solutions, today launched ComplianceAlpha® 2.0. This next-generation compliance and risk management platform helps financial services firms stay one step ahead of regulators’ increasingly advanced technological capabilities to detect insider trading, market abuse, and other potential misconduct.

The enhanced platform was designed and developed by the industry’s largest team of former regulators, financial technologists, and cybersecurity professionals. ComplianceAlpha 2.0 responds to the unique challenges faced by financial services firms around the world.

Jordan Schwartz, Partner at ACA Compliance Group, said, “To accurately and efficiently meet regulatory demands and identify risk, financial services firms no longer have to rely on manual processes and unconnected data sources. Firms need the support of an enterprise-wide, scalable technology solution that brings together their structured and unstructured data sets while allowing for easy feature updates as needs change.”

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Key Features and Benefits of ComplianceAlpha 2.0

  • New employee personal trading surveillance software: ComplianceAlpha 2.0 introduces ACA’s new Employee Compliance solution, which updates, expands, and enhances the existing capabilities of Compliance ELF. Employee Compliance is available within the ComplianceAlpha platform to provide firms with a user-friendly application for managing and automating their firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside activity reporting, and more.

ACA Employee Compliance solution IOIs

New Employee Compliance solution

  • Enhanced scalability and support for third-party integrations: ComplianceAlpha 2.0 is built on an all-new, API-based infrastructure that allows the platform’s solutions to interact with each other as well as with clients’ third-party systems, while allowing for easy scalability to keep up with regulators’ evolving demands and technological capabilities.
     
  • Enhanced user experience: ComplianceAlpha 2.0 introduces a clean and modern interface to provide for a more intuitive user experience. The new platform also brings together all application management features so system administrators can easily manage users, permissions, and notifications from one place.

    ACA compliance matrix

Redesigned, enhanced user experience

Patrick Conroy, Managing Director at ACA Compliance Group, said, “ComplianceAlpha 2.0 helps financial services firms of all sizes bring their firm’s compliance program to the level that regulators expect. The enhanced platform helps firms increase efficiency by automating manual tasks, reduce risk through enhanced surveillance capabilities, derive deeper insights through connected data, and free up valuable time for more strategic, higher-value tasks.”

Raj Bakhru, Chief Innovation Officer at ACA, said, “At ACA, we pride ourselves on our ability to bring together the best people, technology, and services to deliver a comprehensive, integrated approach to governance, risk, and compliance. ComplianceAlpha 2.0 is just the beginning of our efforts to unify our software and delivery services to provide our clients with a comprehensive, future-proof solution that will help them do their jobs more effectively and efficiently while easily keeping up with regulatory changes and technological advances.”

Join Our Live Demo on October 17 at 11am ET

Please join us for a live demonstration of ComplianceAlpha 2.0 and our new Employee Compliance solution on October 17 at 11am ET.

About ACA’s Technology Solutions

ACA is a leading provider of governance, risk, and compliance advisory services and technology solutions. We partner with our clients to help them mitigate the regulatory, operational, and reputational risks associated with their business functions. Our clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, broker-dealers, and domestic and international banks. ACA is based in New York City and has offices in London, Hong Kong, Malta, and other U.S. cities.

ACA delivers technology solutions and consulting services to over 650 leading financial services firms globally. Our best-in-class regulatory technology solutions are designed, developed, and supported by the industry’s largest team of former regulators, financial technologists, and cybersecurity professionals. Our global team includes almost 100 former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms. Through our collective expertise in compliance, cybersecurity, performance, financial crimes, and technology, we understand our clients’ business needs and regulatory requirements. Our technology solutions help our clients streamline processes, simplify day to day tasks, and ensure easy and comprehensive tracking of all activity across their firm.

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Contacts

For more information about ComplianceAlpha 2.0, contact your ACA consultant or Patrick Conroy.

For media inquiries, contact Krissy Kennedy.