Compliance Portal Getting Started Guide

Streamline expert and transcript approvals, generate audit-ready reports, and oversee compliance, all in one place.

• What is the Compliance Portal?
• Accessing the Compliance Portal
• Navigating the Dashboard
• Approval Process
  • Approving Expert Call Requests
  • Approving Transcript Requests
  • Review Upcoming Calls
• FAQs
• Additional Resources

What is the Compliance Portal?

The AlphaSense Compliance Portal is an in-platform module designed for compliance officers. It consolidates expert and transcript request approvals, enables self-service reporting, and provides visibility across compliance workflows, reducing manual processes and fragmented workflows.

Accessing the Compliance Portal

You can access the Compliance Portal in two ways:

Option 1: From Within AlphaSense

• Log in to AlphaSense.
• Select the Compliance icon in the left sidebar.

NOTE: The Compliance Portal appears in your sidebar only after your firm has been enabled.

Option 2: From Email Notifications

• You will receive automated emails for each approval request. 
• Each email contains a direct link to the relevant request (transcript or expert call) and opens the request directly in the Compliance Portal.

Transcript Approval Requests Email:

Expert Call Approval Request Email:

NOTE: These emails will come from Tegus by AlphaSense, our Expert Insights offering that includes call services and our expert transcript library.

Navigating the Dashboard

The Dashboard offers a centralized view of all compliance activities across your firm.

You can:

• Review pending approvals for expert calls and transcript requests.
• Track upcoming calls and recent transcript activity.
• Generate reports to monitor compliance activity.

Approval Process

When someone on your team requests a transcript or expert call, you’ll receive an email with a link to the request.

Approving Expert Call Requests

1. Open the request from the Dashboard.
2. Review the expert’s name, background, employment, and responses to compliance screening questions.
3. Click Approve or Restrict as needed.

Approving Transcript Requests

1. Select a transcript request to view details.
2. Review transcript title, expert history, and screening question responses.
3. Approve or restrict the transcript.
4. The requestor is notified in real time.

Review Upcoming Calls

You can also view all scheduled expert calls and their approval status:

1. Check expert name, company, and scheduled date.
2. Ensure compliance approval via the call status icon.

FAQs

I don’t see the Compliance Portal in my navigation. What should I do?

• Contact compliance@alpha-sense.com for access support.

Do I continue using the old Compliance Portal?

• No. The new AlphaSense Compliance Portal replaces the previous version.

What if my firm uses both AlphaSense and Tegus?

• For now, you will access the following portals:
  • ETL Transcript Requests from AS → New AlphaSense Compliance Portal 
  • ETL Transcript Request from Tegus → Tegus Compliance Portal 
  • Expert Requests for Call Services → Can be accessed via either portal

Can I update compliance settings in the portal?

• Not directly. Please email compliance@alpha-sense.com for help.

Can I undo a decision (approve/reject)?

• Yes. You can restore a request to “Pending” if you need to revise your decision.

Can I schedule automated usage reports?

• Not at this time. However, you can generate reports on-demand within the portal.

Additional Resources

For support, email compliance@alpha-sense.com 

Contact your Account Manager for platform-specific questions.