Elevate Your Surveillance and Monitoring with ACA ComplianceAlpha

We offer a comprehensive suite of surveillance and monitoring solutions through our ComplianceAlpha^® platform. These include capabilities for tracking digital communications, firm trading, employee compliance, market abuse and insider trading risks, sanctions screening, and more.

AI-powered surveillance solutions use AI and machine learning to assist with the detection and investigation of risks such as fraud, insider trading, market abuse, and compliance breaches. AI is also used to collate and analyze large volumes of data to uncover patterns and improve efficiency during the investigative process. 

AI improves efficiency by automatically flagging potential risks, reducing manual oversight, and minimizing false positives. It also helps compliance teams investigate and analyze large volumes of data more effectively, enabling them to focus on high-priority cases and make faster, more informed decisions.

Firms achieve ROI by reducing manual alert reviews, lowering the risk of regulatory fines, and speeding up compliance investigations. Our surveillance tools enable scalable, cost-effective monitoring across high-risk activities.

Yes. Our surveillance solutions connect with trading systems, communication platforms (email, chat, voice), CRMs, and market data feeds—offering end-to-end visibility without system disruption.

ComplianceAlpha^® uses AI and natural language processing (NLP) to analyze structured and unstructured data. It flags anomalies in trades, communications, and employee behavior to identify potential compliance risks before they escalate.

Our platform monitors a broad range of activities, including:

• Electronic communications (emails, chats, messages, social media)
• Market abuse and trade surveillance
• Personal trading and employee conflicts of interest
• Behavioral anomalies and red flags across firm and employee activity

Our surveillance tools help firms meet evolving regulatory expectations (e.g., SEC, MAR, MiFID II, PRIIPs) by automating communication and trading surveillance, aggregating risk signals, and producing audit-ready documentation.

Yes. ComplianceAlpha^® allows firms to tailor alerts, thresholds, and escalation logic to meet jurisdictional requirements across the U.S., UK, EU, APAC, and other regions.  

By automating workflows, reducing noise, and enabling faster escalation, our surveillance and monitoring solutions help compliance teams focus on high-value activity while improving risk coverage and reducing costs.

Implementation time varies depending on the complexity of the firm’s operations and the degree of customization required. Contact us today for a tailored quote.

We provide comprehensive, ongoing support, including onboarding, technical assistance, training, and proactive updates on regulatory changes. Our client support teams work closely with firms to ensure successful surveillance program adoption, tuning of thresholds, and long-term effectiveness.

Data collected through our surveillance solutions is securely stored in compliance with regulatory requirements. Our platform ensures:

• Data encryption for both stored and transmitted information.
• Access control to ensure only authorized personnel can view sensitive data.
• Audit trails for compliance with regulatory recordkeeping requirements. Data can be archived or purged according to the firm’s policies or regulatory needs.