RIA Compliance Technology
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A centralized compliance management platform for registered investment advisers, compliance officers, and compliance consultants. One place for calendars, task tracking, submissions, approvals, and ADV updates. Organized, audit-ready, and simple to use. *Customized Compliance Calendar *Track, Document, and Complete Tasks *Simple Employee Submissions *Simple Task Review, Change, and Approval *Simple ADV Updates *And more
An SEC and FINRA-compliant communication archiving solution for RIAs. Email, text, SMS, website, and social media communications are automatically captured, retained, and searchable. *Simple Email Archiving *Simple Text Message Archiving *Simple Website Archiving *Simple Social Media Archiving *Keyword Sets and Highlighting of Keywords *AI assistance to speed up your reviews
A personal trade monitoring solution for registered investment advisers and compliance teams. Employee accounts are linked electronically and trades are reviewed in one fast, organized digital workflow. No paper statements, no manual tracking, no missing records. *Eliminate the need for paper statements *No tracking down missing statements *Electronically link your employees' accounts *Eliminate the need for initial holdings reports *Easy interface for a fast and straightforward review *Onboard & review personal trading immediately
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About
What is RIA Compliance Technology?
Our technology solutions streamline the compliance process so you can get back to what is most important. RIA Compliance Technology is a compliance management solutions provider. Founded in 2017, after a realization for the need of CompTech in the financial services industry, our technology is designed by compliance professionals, for compliance professionals. Providing simple, structured and organized solutions that meet and exceed demanding compliance standards, we empower financial professionals to be proactive so they can focus on what they do best. RIA Compliance Technology solutions include the Simple Compliance Portal, Simple Email Archive, and Simple Trade Monitor. Our solutions are tailored to the individual needs of our clients, so you can optimize your compliance process.