Employee Compliance Management

Streamline code of conduct, trading, and disclosures.

Enhance your compliance oversight and effectively manage potential conflicts of interest with ACA’s Employee Compliance solution. Our intuitive platform automates monitoring and surveillance for employee conduct, helping regulated financial services firms ensure adherence to policies and regulatory standards.

Comprehensive Conflict Monitoring: Track and investigate outside affiliations, political contributions, gifts, and entertainment to ensure compliance.
Personal Trading Automation: Simplify employee trade pre-clearance and streamline post-trade monitoring.
Efficient Issue Detection: Quickly identify and address potential conflicts of interest with proactive surveillance.

Ready to automate and streamline compliance oversight of employee conduct? Schedule your personalized demo today.

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Why Choose ACA’s Employee Compliance solution?

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daily transactions processed

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available broker connections, including crypto wallets

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customizable rules

Watch the video to learn more about our Employee Compliance solution.

ACA’s Employee Compliance helps you…

Automate personal trading surveillance

Securely monitor personal trading data, manage certifications, and streamline disclosures and approvals with our integrated platform.

Automate personal trading surveillance

Securely monitor personal trading data, manage certifications, and streamline disclosures and approvals with our integrated platform.

Customize compliance settings

Configure the rules engine to align with your firm’s policies, automating trade reviews for compliance checks like front running and insider trading.

Generate audit-ready reports

Centralize data from multiple sources, track investigations, and produce custom compliance reports with ComplianceAlpha Analytics.

Simplify certifications and attestations

Automate the management of certifications and attestations across your firm, ensuring regional compliance and audit readiness. Employees can easily submit trade requests through ComplianceAlpha or the mobile app.

Manage certifications and attestations efficiently

Automate certification and attestation processes to ensure regional compliance and audit readiness, allowing employees to easily submit trade requests through ComplianceAlpha or the mobile app.

Improve case management workflow

Use our comprehensive case management tool for effective investigations and collaboration across your organization.

Discover how we can centralize and automate your investment firm’s code of ethics program.

Speak with an ACA professional to see the power of the ComplianceAlpha platform in action.

Client perspectives

We’re certain we can be your ideal partner. But our clients say it best.

The connectivity offered by ACA’s platform enables seamless integration between the Electronic Communications, Employee Compliance, and Market Abuse Surveillance modules. This integration allows us to contextualize data across different areas of our Compliance program, providing a more comprehensive view and enhancing our ability to monitor and manage compliance risks effectively.

Brett Scheller, Director of Compliance, RA Capital Management