Employee Compliance ComplianceAlpha

Employee Compliance Solution

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ACA’s Employee Compliance software for financial services firms automates employee personal trading surveillance and personal account dealing risk, employee certifications, gift and entertainment requests and disclosures, political contributions, outside activity reporting, and more. Employee Compliance is part of ACA's ComplianceAlpha® platform for risk and compliance management.

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Monitoring employees' personal trading activity and personal account dealing 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


 

Automated Personal Trading Surveillance

  • Streamlines and simplifies the monitoring of employees’ personal trading activity through electronic pre-clearance, screening list capabilities, and automated rule checking
  • Includes dozens of configurable rules 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, insider trading, market abuse, and more
  • Can 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

  • Generates Items of Interest for potential violations, including insider trading and market abuse, that can be reviewed from your firm’s dashboard or email 
  • Create a violations log using Cases to track and document the investigation of Items of Interest 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.
     

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 Items of Interest based on responses
     

Political Contributions Monitoring

  • Track and review political contributions data for covered associates or employees and/or household members
  • Automates searches across public FEC, state, and local databases of political contributions
  • Smart Scoring helps reduce false positives and displays likely matches of contributions
  • Optional support from ACA’s managed services team available

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 
  • Embed videos in certifications for training purposes
  • Notify employees automatically of published certifications and approaching due dates
  • Publish certifications to specific users, business groups, regions, or legal entities

Reporting

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

Security and Integrations

  • Built on an enterprise-level infrastructure and secure platform 
  • Single sign-on (SSO) and two-factor authentication, APIs, and other enterprise-level integrations available
  • WORM-compliant storage of records available
  • Integrate with your firm’s OMS and/or trading system to automatically populate your firm’s restricted lists, watch lists, and trading lists
  • Real-time management of restricted lists and screening lists via API
  • Automated user management via integrations with your firm's third-party systems (HR) via API

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Code of Ethics Managed Service

 

ACA’s dedicated code of ethics specialists can step in to help manage your firm’s code of ethics. Our managed services support offering is designed to help your firm reduce the burden of code of ethics administration in an efficient and cost-effective manner. To learn more, contact us below.

Contact Us

Technical Support


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