Streamline employee compliance management and automate personal trading surveillance from a single RegTech platform
Our Employee Compliance RegTech solution helps to streamline 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. Watch our video to learn more.
We offer a range of technology, support, and managed services options designed to fit your firm's needs. Below are some key features.
- Electronic pre-clearance, screening list capabilities, and automated rule checking
- Configurable rules for automating trade reviews based on your firm’s policies, including checks for front running, holdings periods, blackout periods, prohibited trades, insider trading, market abuse, and more
- Integrated data feeds for open/active IPOs for creating pre-defined IPO screening lists for trading/approval workflows
- Employees can quickly and easily submit approval requests and disclosures for gifts and entertainment, outside business activities, and political contributions
- Create custom submission templates and forms for capturing data required under your firm’s policies.
- Submission templates can have multi-level approval workflows
- Apply rules to submissions to highlight or flag Items of Interest based on responses
- Includes links to over 5,000 brokerage institutions worldwide for easy capture of trading data
- Choose between aggregation feeds, “direct” feeds, or a combination of both
- Create one-time or recurring employee certifications that can dynamically pull data from across the ComplianceAlpha® platform for employee sign-off
- Create document sign-off certifications for employees to attest to policies
- Embed videos in certifications for training purposes
- Notify employees automatically of published certifications and approaching due dates
- Publish certifications to specific users, business groups, regions, or legal entities
- Generates Items of Interest for potential violations, including insider trading and market abuse, that can be reviewed from your firm’s dashboard or email
- Create a violations log using Cases to track and document the investigation of Items of Interest or other potential violations
- Track and review political contributions data for covered associates or employees and/or household members
- Automates searches across public FEC, state, and local databases of political contributions
- Smart Scoring helps reduce false positives and displays likely matches of contributions
- Optional support from ACA’s managed services team available
- Generate compliance review reports and easily export audit-ready reporting
- Build custom dashboards and reports with ComplianceAlpha Analytics
- Single sign-on (SSO) and two-factor authentication, APIs, and other enterprise-level integrations available
- WORM-compliant storage of records available
- Integrate with your firm’s OMS and/or trading system to automatically populate your firm’s restricted lists, watch lists, and trading lists
- Real-time management of restricted lists and screening lists via open APIs
- Automated user management via integrations with your third-party systems (e.g., HR) via open API
Dedicated case manager for investigating IOIs
Assistance with managing screening lists and trading rules
Guidance on optimizations for existing personal trading workflows
Assistance with the creation, distribution, and collection of employee certifications
Platform personal trade reviews and account reconciliations
Support for creating, analyzing, and updating certifications, attestations, questionnaires, and/or disclosures
Download the ComplianceAlpha mobile app
Our ComplianceAlpha mobile app helps your firm maintain a culture of compliance and keep in touch with employees on the go. Key features include:
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