Employee Compliance ComplianceAlpha

Employee Compliance Solution

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ACA’s Employee Compliance solution is an integrated tool for managing your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside activity reporting, and more. Our Employee Compliance solution is available as part of our ComplianceAlpha® platform for risk and compliance program management. 

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Monitoring employee personal trading activity is a crucial piece of every firm’s compliance program and an area regulators continuously target. In this age of ever-heightened sensitivity to market abuse, firms are advised to tighten up their own surveillance and recordkeeping practices.

 

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Features


 

Automate Monitoring of Employee Personal Trading Activity

  • Streamlines and simplifies the monitoring of employees’ trading activity through electronic pre-clearance, screening list capabilities, and automated rule checking. 
  • Easily configure dozens of rule combinations to automate trade reviews based on your firm’s policies, including automatically approving or denying requests based on rule parameters, with possible rules including checks for front running, holdings periods, blackout periods, prohibited trades, and much more. 
  • Integrate with your firm’s OMS and/or trading system to automatically populate your firm’s restricted lists, watch lists, and trading lists 

Identify and Investigate Items of Interest

  • See potential violations through Items of Interest (IOI) displayed on your firm’s dashboard and sent via email 
  • Create a violations log using Cases to track and document the investigation of IOIs or other potential violations 

     

Electronic Brokerage Links

  • Includes links to over 5,000 brokerage institutions worldwide for easy capture of trading data 
  • Choose between aggregation feeds, “direct” feeds, or a combination of both.
     

Simple Employee Submission of Requests & Disclosures

  • Allow employees to quickly and easily submit gift and entertainment, outside business activity, and political contribution approval requests and disclosures 
  • Easily create custom submission templates and forms for capturing any other data required under your firm’s policies. Submission templates can have multi-level approval workflows. 
  • Apply rules to submissions to highlight or flag IOIs 
     

Easy Creation of Employee Certifications

  • Create one-time or recurring employee certifications that can dynamically pull data from across the ComplianceAlpha platform for employee sign-off 

  • Create document sign-off certifications for employees to attest to policies 
  • Notify employees automatically of published certifications and approaching due dates 
  • Publish certifications to spec

     

Reporting

  • Generate compliance review reports and easily export audit-ready reporting 
  • Easily choose parameters for queries using included smart filters
     

Security and Integration

  • Built on an enterprise-level infrastructure and secure platform 

  • Single sign-on (SSO), two-factor authentication, and other enterprise-level integrations available
  • Integrate with your firm’s OMS and/or trading system to automatically populate your firm’s restricted lists, watch lists, and trading lists
     

 

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Employee Compliance Solution Support Services

 

Our experienced professional services and support team will provide a range of services for Employee Compliance clients. We offer three levels of support that are designed to fit your firm’s specific needs. Our Standard support package is automatically included for all Employee Compliance clients. For firms that require more support, we offer Enhanced and Bespoke support packages.

Technical Support


For technical support, please contact support@compliancealpha.com.

If you are a current Compliance ELF client and have questions about the migration process to ComplianceAlpha and our new Employee Compliance solution, please contact your Customer Success representative.