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RegTech in Action

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

Explore our demos one-by-one

This series showcased below will serve up our regulatory technology solutions in individual, click-by-click demos that illustrate ComplianceAlpha's functionality and explains how it can elevate your firm's daily compliance functions.

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Each demo is approx. 30 minutes in length and aims to answer any initial questions you may have.

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Compliance Management

Effectively and efficiently manage your firm's compliance program activities and identify potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.


eComms Surveillance

Employees' use of electronic platforms like Teams, SMS, and WhatsApp can increase potential risks for your firm — and regulators around the globe are scrutinizing how firms are mitigating these risks. Monitor and identify potential high-risk activities and behaviors while reducing the cost of compliance.


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Employee Compliance

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.


Market Abuse Surveillance Technology and Analysis
Market Abuse Surveillance

As amounts of data increases and trading strategies become more complex, more and more compliance teams are turning to technology to help mitigate risk. Our Market Abuse Surveillance Solution can optimize your surveillance testing and manage trading risk. 


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Marketing Review

This brief demo will illustrate how smart technology can help lighten the load with tailored review and approval workflows, disclosure/disclaimer library and rules engine, and annotations and mark-up tools.


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Compliance teams must meet various Know Your Customer (KYC) and Customer Identification Program (CIP) requirements. This brief demo illustrates how our full-service, single-vendor offering can help your firm keep pace with industry best practices and satisfy inquiries from prospective investors.


Compliance Support
Control Room

Monitor your firm-wide risk in a way that meets regulatory expectations and industry best practices, while simplifying daily compliance functions.



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Equip your team with the tools you need to be successful. Gain access to 20+ web-based modules, or upload third-party or proprietary trainings to circulate to your employees. 



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