Overview
Employee compliance in regulated financial firms spans personal trading, conflicts of interest, certifications, and ongoing disclosures. Manual tracking and fragmented tools increase regulatory risk and place heavy operational strain on compliance teams.
As Lead UX Designer, I led the design of Employee Compliance, a surveillance and monitoring solution within ACA’s ComplianceAlpha® platform. The goal was to centralize employee compliance activities, reduce manual effort, and ensure continuous audit readiness.
Role:
UX Designer
Responsibilities:
UX strategy, end‑to‑end workflow design, information architecture, interaction and visual design, and collaboration with product, engineering, and compliance subject‑matter experts
Problem
Compliance teams relied on disconnected systems and spreadsheets to manage employee behavior and disclosures. This fragmentation reduced visibility, slowed investigations, and created risk during audits and regulatory reviews.
Goals
Centralize employee compliance monitoring in one system
Reduce manual processes through automation
Improve visibility into potential conflicts and violations
Provide audit‑ready documentation by default
Solution
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Designed role‑based dashboards that surface alerts, disclosure status, and key risk indicators—allowing teams to prioritize investigations quickly.
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Enabled automated pre‑clearance and monitoring of employee trades, reducing manual review and surfacing issues earlier.
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Introduced expert-maintained regulatory content, automated task assignments, reminders, and escalation paths—significantly reducing spreadsheet dependency.
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Every action is logged with ownership and timestamps, enabling continuous audit readiness rather than last-minute preparation.
Impact
Reduced administrative burden for compliance teams
Faster identification and investigation of potential violations
Increased confidence in compliance oversight
Improved employee experience through simple self‑service workflows