Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.
Achieve better outcomes and economies of scale with integrated technology and managed services
A comprehensive compliance program is critical not just to protecting your business – but to growing your business.
See how ComplianceAlpha is helping over 800 leading financial services firms around the world build better GRC programs.
ACA has helped us improve our compliance program through the use of sophisticated technology and increased economies of scale, efficiencies, and standardization. ComplianceAlpha has enabled us to build a progressive compliance function that positions compliance as a competitive advantage. We believe this will help us win and retain business as new and existing clients increasingly focus on compliance oversight.
Andra Purkalitis, Global Chief Compliance Officer at Russell Investments
Build a more resilient and comprehensive compliance program
ComplianceAlpha integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm.
Benefit from the expertise of over 200 former regulators and compliance officers
We pool our collective expertise across regulatory compliance, cybersecurity, performance, ESG, and technology to design, develop, and deliver valuable and timely solutions to your most pressing challenges.
Reduce the total cost of ownership and increase efficiencies with our managed services
ComplianceAlpha is more than software: it’s a seamless extension of our team. Our GRC specialists can take time-consuming manual tasks off your plate and improve outcomes with dedicated analysis.
Our GRC technology + managed services solutions
Our Employee Compliance Solution streamlines the management of your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more. The system allows you to easily configure policies, including approving or denying requests automatically based on rule parameters, checks for front running, holdings periods violations, blackout periods, prohibited trades, insider trading and market abuse.
Market Abuse Surveillance
Our Market Abuse Surveillance Solution (formerly Decryptex®) uses more than 30 proprietary search algorithms to provide in-depth trade surveillance to help firms identify Items of Interest (IOI) and non-compliant trading and investment activity. The technology monitors for potential market abuses, including use of material non-public information (MNPI), spoofing, layering, crossing, marking the open or close, trade errors, fairness in allocations and prices, execution, and other related abuses. It augments trading and position information with securities metadata (pricing, volatility, and corporate actions) and includes a case management tool that can store emails, reports, and research related to each investigation.
Our Compliance Management Solution provides a governance, risk, and compliance technology platform for effectively and efficiently managing your firm's compliance program activities and identifying potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.
Our AML KYC/CIP Solution is designed to assist your firm in developing and implementing effective AML practices that meet industry best practices and comply with applicable laws and regulations in the U.S., Europe, and Cayman Islands. Our solution combines our ComplianceAlpha® regulatory technology with our managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.
Our Cybersecurity Solution in ComplianceAlpha centralizes cybersecurity and technology risk management capabilities to help your firm assess, identify, monitor, and understand risks in your technology infrastructure, cybersecurity policies, procedures, and controls.
Leading Financial Services Clients
Over 800 clients trust ComplianceAlpha to help protect and grow their business. Our clients' insights and feedback help inform the continuous evolution of our product roadmap.
Former Regulators and Compliance Officers
Over 200 former regulators and compliance officers lend their real-world experience and subject matter expertise to the development of new features.
Reduced Total Cost of Ownership
Our tech + managed services solutions can reduce the total cost of ownership by up to 40% over four years.
ComplianceAlpha news and updates
ComplianceAlpha® 2021Q2 Introduces New Features for Marketing Reviews, Legal Documents, eLearning, and More
ComplianceAlpha 2021Q2 includes new features and technology such as natural language processing (NLP) for marketing reviews and legal document tracking (side letters and NDAs), a new integrated eLearning solution, and more.
- Regulatory Technology
Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform
Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.
- Regulatory Technology
- ACA News
ACA recognised an industry leader in building innovative risk and compliance management solutions for financial services firms with its ComplianceAlpha® RegTech platform. ComplianceAlpha helps over 800 clients worldwide build progressive compliance programs that decrease risk, increase efficiency, reduce costs, and build operational resilience across their firms.
- ACA News
Featured regulatory technology resources
We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.
- Regulatory Technology
RegTech can help firms navigate the future of risk and compliance in the age of RiskMutation™ by transforming risk and compliance functions while delivering cost savings. Get our RegTech strategic roadmap here.
- Regulatory Technology
On demand webcasts
Join us for a live webcast as we discuss the intricacies and challenges for financial firms associated with the volume and complexity of side letter and legal document management and demonstrate how ACA's new technology solution can help.
Our leadership team
Raj oversees ACA strategy, M&A, and ComplianceAlpha®.
Glen oversees ComplianceAlpha®'s services functions, including Customer Support, Customer Success, and Product Implementation.
Nikolay oversees the ComplianceAlpha® software development team.
Michael oversees key relationships and product management of ComplianceAlpha®'s Market Abuse Surveillance Solution, formerly known as Decryptex ®.
Jordan oversees product management for ComplianceAlpha®'s Compliance Management, Marketing Review, and Employee Compliance Solutions.
Patrick oversees global business development for ACA’s regulatory technology and managed services solutions.
Leigh is Senior Product Champion for ACA's ComplianceAlpha® regulatory technology platform. She was formerly Chief Compliance Officer for Dynasty Financial Partners.
ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.
At ACA, we recognize that the past year has been extremely challenging and trying for our employees. We also understand that our employees have whole lives, and that work is just one component of those lives. To this end, we are doing something we have never done before. We are providing employees with one week of paid time off to Rest, Recharge, and Renew.
ACA Group Announces ComplianceAlpha® 2021Q2 with New Features Designed to Help Financial Services Firms Meet Increasing Demands for Digitizing Compliance Programs
ComplianceAlpha 2021 Q2 introduces a suite of new features and sophisticated technology enhancements designed to help firms globally build more comprehensive and scalable GRC programs in line with the expectations of regulators, boards, management, clients, and investors.
ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to join us on June 22 at 2:00 PM ET as we share the results of our 2021 Investment Management Compliance Testing Survey.
Join ACA’s Alex Scheinman, Managing Director, and Paul Schappell, Senior Principal Consultant on Wednesday, June 23 as we review the key requirements and enforcement structures of the CPRA and the CDPA, discuss the prospect of future privacy regulations at the state and federal level, and share our perspective on what firms should be doing to meet their compliance obligations and avoid enforcement actions.
Join us Thursday, June 24 at 11:00 AM EDT for a live webcast as ACA Group and 4U Platform discuss the modernization of marketing, the macro trends shaping the future state of fintech and how collaboration is the critical ingredient to supporting it all.