Compliance Program Management Solution

Our Compliance Management solution is a module in ACA’s ComplianceAlpha^® platform that helps financial services firms efficiently manage their compliance efforts, providing tools for managing, reporting, and tracking compliance and risks across regulatory requirements.

Key features include:

• Content library of regulatory obligations and best practices curated by ACA’s regulatory compliance experts
• Policy management
• Compliance calendar and activity management
• Seamless integration with other ACAmodules
• Customizable dashboard and compliance reports

Our solution is highly customizable to meet the specific needs of each firm. A key feature that provides flexibility and scalability is the ability to manage separate compliance programs (e.g., for affiliates or across jurisdictions), sharing as much or as little of the frameworks and data as needed.

Our platform enables shared access to compliance, risk, and legal data—supporting effective communication and alignment across departments and facilitating joint decision-making.

Our solution maintains a robust audit trail, tracks compliance activities in near real-time, and facilitates internal and external audits to demonstrate ongoing compliance.

The Compliance Management solution provides detailed records of compliance activities and generates accurate reports, helping firms stay audit-ready and respond quickly to regulatory inquiries.

Our platform is updated regularly to reflect changes in regulations, ensuring compliance by adjusting workflows and processes. Clients can also leverage ACA’s Compliance Content Library (CCL)—a repository of risks, controls, and activities authored by ACA subject matter experts—for regulatory change management.

Yes, our solution integrates seamlessly with existing systems, such as transaction monitoring platforms and other GRC tools, ensuring smooth data flow across your infrastructure.

Our solution is ideal for investment managers, broker-dealers, and other financial institutions of varying sizes and complexities.

Yes, our solution is designed to scale with the firm’s growth—adapting to new markets, services, or client bases without compromising compliance effectiveness.

Our solution uses data encryption, access controls, and compliance with privacy regulations such as GDPR to ensure the data sovereignty and protection of sensitive client and financial data.

We offer continuous support, including implementation assistance, platform updates, technical support, and user training to help firms fully leverage the Compliance Management solution.

We provide live webinars, personalized demo sessions, comprehensive documentation, and access to a support community to ensure successful solution adoption and use.

Key components to respond to supervisory oversight include program assessments, risk assessments, streamlined policy management, mock audits, continuous monitoring, and comprehensive books and records.

Our solution automates key compliance tasks like monitoring regulations, managing workflows, and generating reports–reducing manual intervention and accelerating response times. Our solution can also ingest data from other ACA compliance services to put all your records in one place.

Pricing depends on factors such as firm size, complexity, and the features needed. Contact us for a tailored quote.