ComplianceAlpha

ComplianceAlpha® is a secure, centralized platform for managing your firm’s risk and compliance program. The platform enables compliance, marketing, and risk teams to more efficiently meet their firm's regulatory obligations and business needs.

 

 

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KEY BENEFITS AND FEATURES

  • Modular system designed to scale with your business
  • Robust dashboard for monitoring and analyzing compliance activities
  • Microsoft® Outlook®-integrated calendar for tracking scheduled compliance activities
  • Upload and maintain compliance policies and procedures
  • Full workflow for submitting, reviewing, approving, and archiving marketing and advertising materials
  • Cybersecurity and technology risk management tools
  • Seamless access to your firm’s enterprise system through single sign-on (SSO)
  • Built on a secure cloud platform developed in consultation with ACA Aponix®
  • Manage your firm’s code of ethics and track compliance activities related to employee personal securities trading (coming soon)
  • Automated monitoring for potential trade, market, or other market abuse (coming soon)

COMPLIANCE MANAGEMENT PLATFORM

 

ComplianceAlpha Compliance Management Platform module

 

The Compliance Management Platform (CMP) captures data from compliance activities across your firm to help you identify, monitor, and analyze compliance risks, as well as test your controls.

Risk Monitoring and Analysis

  • Monitor your firm’s compliance activity from a robust dashboard
  • Analyze the results of compliance tests and identify items of interest
  • Use visual analytics to track progress and spot potential issues

Compliance Activity Calendar

  • View and track compliance tasks with a Microsoft® Outlook®-integrated calendar
  • Log and document conflicts of interest as well as code of ethics violations
  • Receive notifications when compliance activities require your attention

Document Management and Reporting

  • Upload, edit, and maintain compliance policies and procedures
  • Maintain documents supporting compliance testing results and issue resolution
  • Run standard reports, subscribe to and schedule reports via email, and export data to Microsoft® Excel®

Other Features

  • Use the ACA Master Reference Library to access results of internal compliance testing and reviews as well as reference content updated by ACA's compliance consultants
  • Seamlessly access your firm's enterprise system via single sign-on (SSO)

MARKETING REVIEW SOLUTION

 

 

The Marketing Review Solution (MRS) provides a full management workflow for submitting, reviewing, approving, and archiving marketing and advertising materials.

Dashboard

  • View the status of submissions, receive notifications, and visualize your workload
  • Search the electronic archive of materials

Submissions Workflow

  • Create a tailored process for reviewing and approving submissions
  • Customize submission forms with user-defined fields
  • Upload materials for review to FINRA via AREF

Audit Trail and Reporting

  • View a complete work log of all submissions and reviews
  • Run metric reports for business owners
  • WORM-compliant storage of submission records available

Other Features

  • Annotate and mark up PDFs using built-in tools
  • Seamlessly access your firm's enterprise system via single sign-on (SSO)

UPCOMING FEATURES

Code of Ethics (coming soon)

Provides CCOs with an integrated solution for managing their firm’s code of ethics as well as tracking compliance activities related to employee personal securities trading.

Key features:

  • Pre-trade, post-trade, IPO, and private placements
  • Outside business activities
  • Gifts, entertainment, and charitable contributions
  • Political contributions
  • Certifications, attestations, items of interest

Decryptex® (coming soon)

Helps identify non-compliant or anomalous trading and investment activity.

Key features:

  • Monitors for potential insider trading, manipulation, or other market abuse
  • Forensic portfolio testing after meetings with expert networks or issuers
  • Data visualizations for recreating positions and overlay corporate actions
  • Case manager for documenting and resolving items of interest

FEATURED CASE STUDIES

Client Type: A Dual-Entity Private Equity and Hedge Fund Manager with $1B AUM

A dual-entity private equity and hedge fund manager with approximately $1 billion AUM needed to build a universal risk assessment and compliance program testing regime under time and resource constraints that limited the ability of the firm's compliance staff to adequately design and implement an effective solution.

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Client Type: A Growing Investment Adviser/Wealth Manager with $1.5B AUM

An investment advisory and financial planning firm managing over $1.5 billion in client assets experiencing growth in its advisory business required updates to its compliance and marketing review program infrastructure, which was limited by inefficiencies in its manual review processes.

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Client Type: An Investment Adviser with $25B AUM

An investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels had difficulty managing the volume of marketing materials that needed to be approved by designated supervisors and departments, resulting in delays in the review process.

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Want to learn more about ComplianceAlpha?

 

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