Comprehensive Communications Compliance Solutions

Capture Everything with Confidence

Capture business communications from various enterprise platforms, using 85+ connectors enabled through native capabilities and proprietary partnerships, including:

• Email
• Financial platforms
• Collaboration platforms
• Social media
• Mobile capture for corporate and BYOD devices
• Voice transcription

Pair it with our eComms Archive and/or Surveillance solutions for seamless integration.

Archive for Compliance with Ease

Meet key regulatory requirements with tools for efficient responses to complaints, audits, and investigations, with features and benefits including:

• Streamlined data migration
• Reliable, rapid search experience for smooth navigation between search results and content examination
• Compliance with SEC, FINRA, CFTC, FCA, and other global regulations

Combine it with our eComms Surveillance solution to automate and simplify your workflow.

AI-Driven Surveillance for High-Risk Activities

Automate the monitoring of high-risk activities using AI tools like Natural Language Processing (NLP) and Relationship Forensics. Features include:

• Data curation: False positive and disclosure removal tools exposed to end-users for individual testing (i.e., no “black boxes”)
• Dynamic inputs to risk scenario logic: Identify contextually relevant content using 150+ “out of the box” risk behaviors available in English, plus 25 risk scenarios in 10 additional languages
• Risk detection and scoring: Considers sentiment, conduct risk, relationship forensics, message metadata, and hits from multiple risk scenarios
• Cross-modular integration: Works with other ComplianceAlpha RegTech solutions, including Market Abuse Surveillance, Control Room, and Marketing Review
• Streamlined Items of Interest workflow: Identify, investigate, remediate, and document with collaborative workflow and reporting tools

Reporting Analytics and Audit Trail

Respond to regulatory audit requests at a moment’s notice. ComplianceAlpha’s Analytics and Reporting enhances your compliance program through these powerful features:

• Customizable dashboards and reports
• Comprehensive audit trail recording all user and system activities
• Robust reporting and presentation of alert closure and escalation to ensure program suitability, repeatability, and explainability