Regulatory Technology

Build a scalable and resilient compliance program with ComplianceAlpha®, our regulatory technology software platform backed by managed services support.

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.

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ComplianceAlpha 2021Q2 is here

We’re excited to announce the latest innovations for ComplianceAlpha® designed to help our clients build stronger, more effective compliance 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.

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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.

woman looking at compliancealpha market abuse surveillance solution items of interest on laptop screen

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

Employee Compliance

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.

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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.

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Compliance Management

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.

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Marketing Review

Our Marketing Review Solution provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising materials.

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AML KYC/CIP

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.

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Cybersecurity

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.

Learn more about our cyber services

Why ComplianceAlpha?

Leading Financial Services Clients

800+

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

200+

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

40%

Our tech + managed services solutions can reduce the total cost of ownership by up to 40% over four years.

Our leadership team

Raj Bakhru

Raj Bakhru

Chief Innovation Officer

Raj oversees ACA strategy, M&A, and ComplianceAlpha®.

Glen Froio

Glen Froio

Partner, Regulatory Technology

Glen oversees ComplianceAlpha®'s services functions, including Customer Support, Customer Success, and Product Implementation.

Nikolay Kojuharov

Nikolay Kojuharov

Partner

Nikolay oversees the ComplianceAlpha® software development team.

Michael Lehman

Michael Lehman

Partner

Michael oversees key relationships and product management of ComplianceAlpha®'s Market Abuse Surveillance Solution, formerly known as Decryptex ®.

Jordan Schwartz

Jordan Schwartz

Partner

Jordan oversees product management for ComplianceAlpha®'s Compliance Management, Marketing Review, and Employee Compliance Solutions.

Patrick Conroy

Patrick Conroy

Partner, Regulatory Technology

Patrick oversees global business development for ACA’s regulatory technology and managed services solutions.

Leigh Emery

Leigh Emery

Senior Product Champion, Regulatory Technology

Leigh is Senior Product Champion for ACA's ComplianceAlpha® regulatory technology platform. She was formerly Chief Compliance Officer for Dynasty Financial Partners.

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News

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.

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.

We Are Now ACA Group

This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.

Upcoming events

Compliance Officer: The Role and Responsibilities - 13 May 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training

Senior Management Obligations under the SM&CR - 19 May 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training