ComplianceAlpha®

ComplianceAlpha® is a secure, centralized platform for managing your firm’s risk and compliance program. It is a modular system that integrates risk assessment and regulatory requirements; compliance controls, policies, and procedures; compliance activity tracking and testing; marketing and advertising reviews; cybersecurity and risk management tools; personal securities trading and code of ethics (coming soon); and trade surveillance (coming soon).

 

ComplianceAlpha logo

 

 

Request a demo

 

BUILT FOR COMPLIANCE PROFESSIONALS

 

Our Colleagues

 

ComplianceAlpha was developed in conjunction with ACA Compliance Group’s regulatory compliance team of former regulators and senior-level compliance professionals. This unique combination of technical and regulatory expertise results in a software toolkit that allows compliance departments to efficiently monitor their compliance programs and stay current with ever-changing regulatory priorities.

COMPLIANCE MANAGEMENT PLATFORM

 

ComplianceAlpha Compliance Management Platform module

 

The Compliance Management Platform (CMP) module identifies applicable compliance risks and controls and captures data from compliance activities across your firm for monitoring and analysis.

Monitoring and Analysis

  • Monitor your firm’s compliance activity from a robust dashboard
  • Analyze the results of compliance tests and identify items of interest

Testing and Tracking

  • Create and track compliance tasks with a Microsoft® Outlook®-integrated calendar
  • Track conflicts of interest
  • Receive notifications when compliance activities require your attention

Documents 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

  • Access results of internal compliance testing and reviews
  • Access reference content updated by ACA's experienced compliance consultants

MARKETING REVIEW SOLUTION

 

 

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

MRS 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 to FINRA for review

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

  • Comment on PDFs using included annotation tools
  • Upload files up to 500MB each

 

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.

Go to Case Study

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.

Go to Case Study

Want to learn more about ComplianceAlpha?

 

Contact Us