Compliance Program Management Software

Simplify compliance program management with our ComplianceAlpha® RegTech platform

Manage compliance program activities, policies and procedures, and more from a single platform

Our Compliance Management RegTech solution helps firms manage their compliance program activities and identify potential issues effectively and efficiently. Watch our video to learn more.

Key features

Risk monitoring and analysis
  • Identify compliance risks and requirements with corresponding controls and procedures
  • Analyze the results of compliance tests and identify items of interest (IOI)
  • Use visual analytics to track progress and spot potential issues
Compliance activity calendar
  • View and track compliance tasks with a Microsoft® Outlook®-integrated calendar
  • Create customized calendar events and monitor the resolution of IOIs
  • Receive notifications when compliance activities require your attention
Document management and reporting
  • Upload, edit, and maintain compliance policies and procedures
  • Maintain documents supporting compliance testing results and issue resolution
  • Run standard reports, subscribe to and schedule reports via email, and export data to Microsoft® Excel®
Legal document tracking (side letters and NDAs)
  • Automatically parses documents and extracts provisions using natural language processing (NLP)
  • Creates a searchable database of legal document text for easy reference
  • Assign provisions to groups as owners
  • Create compliance activities related to provisions for tracking and evidence
  • Bulk upload documents
Other features
  • Use the ACA Master Reference Library to access and customize reference compliance content updated by ACA’s compliance professionals
  • Seamlessly access your firm’s enterprise system via single sign-on (SSO)
1 of

RegTech insights

Upcoming events