Compliance Management

Compliance Management Solution

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ACA’s Compliance Management solution provides financial services firms with a governance, risk, and compliance technology platform for effectively and efficiently managing their compliance program activities and identifying potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

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Compliance Activity Calendar

  • View and track compliance tasks with a Microsoft® Outlook®-integrated calendar
  • Create customized calendar events and monitor the resolution of items of interest
  • Receive notifications when compliance activities require your attention

Risk Monitoring and Analysis

  • Identify compliance risks and requirements with corresponding controls and procedures
  • Analyze the results of compliance tests and identify items of interest
  • Use visual analytics to track progress and spot potential issues

Document Management and Reporting

  • 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®
  • WORM-compliant storage of records available

Other Features

  • Use the ACA Master Reference Library to access and customize reference compliance content updated by ACA's compliance professionals
  • Seamlessly access your firm's enterprise system via single sign-on (SSO)

compliance management platform calendar

compliance management platform