Surveillance and Monitoring Support
Expert-led compliance monitoring to detect risk, strengthen oversight, and reduce internal burden.
ACA Group’s Managed Services team provides surveillance and compliance monitoring support that extends your internal compliance capabilities and helps firms respond to evolving regulatory expectations.
Our specialists combine expert support with technology to help you:
- Detect regulatory risk: Identify potential compliance and conduct risks that require attention.
- Strengthen compliance monitoring: Enhance ongoing surveillance and monitoring across your firm.
- Improve conduct oversight: Monitor activity and identify potential conduct concerns.
- Reduce false positives: Use technology-enabled monitoring to focus resources on relevant risks.
- Extend internal resources: Add specialist expertise and support without increasing the burden on your compliance team.
Ready to strengthen your compliance monitoring and oversight? Schedule a consultation to explore how ACA’s Managed Services can support your surveillance and monitoring needs.
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What Do You Need Help With?
Our Managed Monitoring Services solution is designed to give your firm greater control, better visibility, and stronger coverage across your highest-risk areas:
Research Compliance Solutions
Electronic Communications Review
Leverage experienced analysts to review communications across platforms like email, Teams, Zoom, and WhatsApp. ACA escalates messages that appear to warrant further review in multiple risk areas, including the sharing of material non-public information (MNPI), off-channel communications, information security, and personal email usage for business.
Employee Compliance Monitoring Support
Social Media and Online Presence Reviews
Not Sure Which Solution You Need?
Simply book a call with one of our specialists. They will guide you through the regulatory compliance consulting services available and help you build a plan perfect for your needs.
Human-Led Compliance, Supercharged by Technology
Our Managed Monitoring Services team brings tech-enabled expertise to your compliance program—whether supporting your current systems, working within ComplianceAlpha®, or bridging the gap between them. However you engage with us, our RegTech-powered solutions are designed to enhance oversight without added burden.
Explore our RegTech solutions to find the right fit for your team
Why ACA?
Reduce Internal Burden
Rely on a team that works within your systems to take on time-consuming tasks and free up internal capacity.
Improve Consistency and Execution
Bring structure and follow-through to core compliance activities with support that aligns with your program.
Stay Ahead of Regulatory Demands
Tap into a team that monitors changing rules and expectations, so your program stays responsive and up to date.
Let’s lighten the load on your compliance team. Talk to us about how our managed services can support your firm
FAQs
Surveillance and Monitoring
What types of surveillance support does ACA offer through its Managed Services?
ACA offers expert-led surveillance support for pre-call expert screening and expert call reviews, eComms monitoring, employee compliance, and online presence reviews.
Our team uses ACA’s technology and your firm’s existing tools to flag risks early and reduce manual review burden.
Can ACA help our compliance team manage employee trading and certifications?
Yes. ACA provides managed services for employee compliance monitoring, including support for personal trading reviews, certification tracking, and disclosures. We help reduce administrative lift while ensuring adherence to your firm’s Code of Ethics.
How does ACA manage social media and online presence reviews?
Our reviewers assess publicly available online content (e.g., LinkedIn, personal websites) of employees to detect business-related conduct that could pose reputational or regulatory risk. This supports compliance teams in managing digital exposure.
Does ACA tailor surveillance efforts to our firm’s risk profile?
Yes. Our services are customizable. We work within your firm’s rules and escalation protocols to deliver surveillance support that aligns with your policies and resource needs.
Can ACA help reduce surveillance review backlogs?
Yes. ACA’s team can step in to help you meet review timelines, especially during periods of heightened activity or when internal teams are stretched thin.
Will our firm maintain control of surveillance policies and escalation decisions?
Absolutely. ACA acts as an extension of your team. You retain full control over policy, thresholds, and final decisions.
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