ComplianceAlpha RegTech 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.

Our Market Abuse Surveillance Solution provides automated, in-depth trade surveillance to help your firm identify items of interest and non-compliant trading and investment activity.

Our Control Room Solution helps compliance and legal teams manage and monitor the flow of sensitive information across their firm to identify potential conflicts of interest and mitigate insider trading risk.

Our eComms Surveillance Solution is an integrated, machine learning-based surveillance and investigations platform that provides global buy- and sell-side firms with a complete view of potential high-risk activities and behavior across their organization from a single platform.

Our Marketing Review Solution combines smart technology with our dedicated managed services to help firms automate and increase efficiencies for reviewing and approving marketing and advertising materials and financial promotions.

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 technology with managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.

Our eLearning Solution provides a centralized platform for your firm's employee training requirements, from course administration through employee completion.

Our Best Execution Solution helps investment advisers meet their obligation to seek Best Execution of their clients’ trade orders by evaluating the cost and quality of trades and services received from their brokers.