Compliance Oversight Simplified with ACA ComplianceAlpha

ComplianceAlpha is ACA’s integrated RegTech platform that streamlines risk and compliance management for financial services firms. It centralizes compliance operations across functions such as marketing review, control room, eLearning and compliance management. It enables monitoring, automated workflows, and detailed audit trails to improve oversight and exam readiness.

Streamlining compliance oversight helps firms reduce manual burden and human error, enhance operational efficiency, simplify approval workflows, strengthen cybersecurity, and maintain ongoing regulatory compliance.

Without a structured compliance oversight program, financial services firms face greater risk of regulatory penalties, reputational damage, operational disruptions, and loss of client trust. Non-compliance can also lead to legal consequences and business continuity risks.

Automation improves accuracy, reduces the risk of human error, saves time, and enables issue detection. It also helps firms proactively address compliance risks and improve preparedness for audits and regulatory exams.

ComplianceAlpha automates key oversight functions such as marketing and financial promotions review workflows, restricted and watch list management, deal and conflict approvals, and policy attestation tracking.

Firms often struggle to keep up with evolving regulatory requirements, manage growing volumes of data, coordinate cross-functional approvals, and maintain accurate records for audits or exams.

ComplianceAlpha maintains a centralized system of record with built-in audit trails, approval history, and reporting features. These capabilities support faster, more organized responses to regulators and internal stakeholders.

The platform provides automated reports, , and configurable analytics. These tools help compliance teams track activity, identify trends, and demonstrate program effectiveness to boards or regulators.

The platform uses AI to identify anomalies and high-risk activity within documentation and workflows. These capabilities help prioritize review items and enhance oversight without increasing manual workload.

ACA continuously monitors global regulatory changes and updates the platform accordingly. This helps firms stay compliant and avoid gaps in oversight due to outdated processes or documentation.