ComplianceAlpha RegTech Solutions

Compliance program management platform for financial services firms

Our ComplianceAlpha RegTech solutions platform integrates risk and compliance management activities, trade surveillance and monitoring, compliance program testing, and in-depth analytics to help risk and compliance officers simplify and streamline their compliance management responsibilities. ComplianceAlpha is trusted by over 1,200 financial services firms to help protect and grow their business. 



Build a scalable and resilient compliance program with ComplianceAlpha®, our integrated RegTech solutions platform

ComplianceAlpha Regulatory Technology 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.

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On-Demand Demo Series

RegTech in Action

See how our fully-integrated regulatory technology solution can tech-enable your compliance program from top to bottom.

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.

Russell Investments

Why choose ACA's ComplianceAlpha RegTech solutions?

Leading Financial Services Clients


Over 1,200 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.

RegTech insights

RegTech On-Demand webcasts

Keeping Pace with Mobile Communication Surveillance

Our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.


ComplianceAlpha® 2021Q2 Demo

Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.


Our RegTech leadership team

Michael Borts

Michael Borts

Chief Technology Officer
Patrick Conroy

Patrick Conroy

Head of Technology Sales
Leigh Emery

Leigh Emery

Senior Product Champion, RegTech
Nikolay Kojuharov

Nikolay Kojuharov

Partner, RegTech
Michael Lehman

Michael Lehman

Partner, RegTech
Photo of Annie Morris, ACA's Chief Product Officer

Annie Morris

Chief Product Officer
Jordan Schwartz

Jordan Schwartz

Partner, RegTech
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Cultural Connections: ACA's HOLA ERG Celebrates Hispanic Heritage Month

ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!

ACA Group Enhances Surveillance Capabilities for Off-Channel Communications to Navigate Rising Regulatory Scrutiny

New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.

SEC Marketing Rule Continues to Dominate Investment Advisers' Compliance Concerns, Survey Reveals

The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.

Upcoming RegTech events