Elevate Your Surveillance and Monitoring with ACA ComplianceAlpha

Detect, manage, and prevent compliance risks with confidence.

Looking to transform and future-proof how you approach regulatory oversight? Turn to ACA ComplianceAlpha’s powerful surveillance and monitoring services.

Our integrated suite of solutions ensures you stay ahead of compliance risks with real-time detection and comprehensive monitoring. Discover how we help you:

  • Centralize and automate monitoring of firm trading, employee compliance, and behavior to ensure compliance with firm policies.
  • Monitor for insider trading, market manipulation, and other abusive behavior under SEC, FCA, and other regulatory regimes.
  • Track, control, and organize the flow of sensitive information to help mitigate risk.
  • Utilize AI techniques to monitor and review electronic communications for compliance breaches.

Ready to transform your surveillance function? Book a consultation today.

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Transform your surveillance and monitoring program with ComplianceAlpha.

Prepared to redefine your approach to surveillance and monitoring?

Ensure your peace of mind — trust us with the compliance details. Begin today.

Why ComplianceAlpha – ACA’s RegTech Platform

Build a scalable and resilient compliance program with ACA’s ComplianceAlpha®. Our platform combines integrated technology with expert managed services to streamline your compliance activities and deliver superior outcomes. Here’s what sets us apart:

Unified risk management

ComplianceAlpha integrates risk and compliance activities, surveillance and monitoring, testing, rep management, compliance inspections, and analytics into one platform, giving you a comprehensive view of risks and behaviors across your firm.

Streamlined operations

Reduce the total cost of ownership and enhance operational efficiency through our integrated technology and managed services.

Expertise you can trust

Benefit from the knowledge of over 200 former regulators and compliance officers, ensuring your program is backed by industry-leading insights and support.

Client perspectives

We’re certain we can be your ideal partner. But our clients say it best.

The connectivity offered by ACA’s platform enables seamless integration between the Electronic Communications, Employee Compliance, and Market Abuse Surveillance modules. This integration allows us to contextualize data across different areas of our Compliance program, providing a more comprehensive view and enhancing our ability to monitor and manage compliance risks effectively.

Brett Scheller, Director of Compliance, RA Capital Management

Why ACA?

Experience the ACA advantage with ComplianceAlpha.
Here’s what sets us apart:

Expertise

Developed and backed by 200+ former regulators and compliance officers.

Innovation

Award-winning technology integrating risk and compliance.

Global reach

Trusted by 1,600+ leading financial firms worldwide.

FAQs

Surveillance and Monitoring

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.

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