ComplianceAlpha RegTech Solutions

Compliance program management platform for financial services firms

Build a scalable and resilient compliance program with ComplianceAlpha®, our integrated RegTech solutions platform

Our ComplianceAlpha RegTech solutions platform integrates risk and compliance management activities, trade surveillance and monitoring, compliance program testing, and in-depth analytics to help risk and compliance officers simplify and streamline their compliance management responsibilities. ComplianceAlpha is trusted by over 1,000 financial services firms to help protect and grow their business. 

ComplianceAlpha Regulatory Technology Solutions

Our Employee Compliance Solution streamlines the management of your firm’s personal trading surveillance, employee certifications, gift and entertainment requests and disclosures, political contributions, outside business activity reporting, and more.

Our Market Abuse Surveillance Solution provides automated, in-depth trade surveillance to help your firm identify items of interest and non-compliant trading and investment activity.

Our Control Room Solution helps compliance and legal teams manage and monitor the flow of sensitive information across their firm to identify potential conflicts of interest and mitigate insider trading risk.

Our eComms Surveillance Solution (formerly Catelas) is an integrated, machine learning-based surveillance and investigations platform that provides global buy- and sell-side firms with a complete view of potential high-risk activities and behavior across their organization from a single platform.

Our Marketing Review Solution combines smart technology with our dedicated managed services to help firms automate and increase efficiencies for reviewing and approving marketing and advertising materials and financial promotions.

Our Compliance Management Solution provides a governance, risk, and compliance technology platform for effectively and efficiently managing your firm's compliance program activities and identifying potential issues through automated risk monitoring, compliance activity tracking, up-to-date reference compliance content, reporting, and visual analytics.

Our AML KYC/CIP Solution is designed to assist your firm in developing and implementing effective AML practices that meet industry best practices and comply with applicable laws and regulations in the U.S., Europe, and Cayman Islands. Our solution combines technology with managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.

Our eLearning Solution provides a centralized platform for your firm's employee training requirements, from course administration through employee completion.

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ACA has helped us improve our compliance program through the use of sophisticated technology and increased economies of scale, efficiencies, and standardization. ComplianceAlpha has enabled us to build a progressive compliance function that positions compliance as a competitive advantage. We believe this will help us win and retain business as new and existing clients increasingly focus on compliance oversight.

Russell Investments

Why choose ACA's ComplianceAlpha RegTech solutions?

Leading Financial Services Clients

1,000+

Over 1,000 clients trust ComplianceAlpha to help protect and grow their business. Our clients' insights and feedback help inform the continuous evolution of our product roadmap.

Former Regulators and Compliance Officers

200+

Over 200 former regulators and compliance officers lend their real-world experience and subject matter expertise to the development of new features.

Reduced Total Cost of Ownership

40%

Our tech + managed services solutions can reduce the total cost of ownership by up to 40% over four years.

RegTech insights

RegTech on-demand webcasts

Keeping Pace with Mobile Communication Surveillance

Our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.

Webcast

ComplianceAlpha® 2021Q2 Demo

Join us as ACA's Jordan Schwartz will provide a live demo of the new features recently added to ComplianceAlpha®.

Webcast

Our RegTech leadership team

Raj Bakhru

Raj Bakhru

Chief Innovation Officer
Michael Borts

Michael Borts

Chief Technology Officer
Eddie Cogan

Eddie Cogan

Partner, Head of eComms Surveillance
Patrick Conroy

Patrick Conroy

Partner, RegTech
Leigh Emery

Leigh Emery

Senior Product Champion, RegTech
Glen Froio

Glen Froio

Partner, RegTech
Nikolay Kojuharov

Nikolay Kojuharov

Partner, RegTech
Michael Lehman

Michael Lehman

Partner, RegTech
Photo of Annie Morris, ACA's Chief Product Officer

Annie Morris

Chief Product Officer
Jordan Schwartz

Jordan Schwartz

Partner, RegTech
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News

Celebrating Asian and Pacific Islander American Heritage Month

May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!

ACA Mirabella Awarded HFM's Title of Best Regulatory Hosting Platform

ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.

Transaction Reporting Still Not a Priority for Firms, Despite Recent ESMA Fine

New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.

Upcoming RegTech events

2022 SEC Priorities and Focus Areas

We will discuss how the 2022 SEC Examination Priorities, Risk Alerts and new proposed rules may impact your firm and your compliance program.

Webcast

Annual Compliance Training - 7 June 2022

The regulator is clear, you and your team must review your competence and training needs regularly. This course is designed specifically to assist all staff in meeting and staying up to date with their statutory and regulatory obligations.

Online Training