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SmartRIA - SmartRIA Compliance Software

SmartRIA Gets an Elegant New Look and Feel

October 4, 2021 by Mac Bartine Leave a Comment

SmartRIA’s development team has been working for months on refreshing the look and feel of our software. These changes make using the software a more pleasant experience, and the branding is also more in line with the company’s public website. While the changes are only “skin deep,” there are some big ideas that went into this latest update. Herb Himes, SmartRIA’s interface and experience design lead for the project, offered some details on what’s new: Look and feel – Our

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Filed Under: News, Release Notes, Software Tagged With: compliance, compliance software

How to Train Your Team on New RIA Compliance Tech

September 2, 2021 by Mac Bartine Leave a Comment

Bringing on new tech for RIA compliance can be a major undertaking on top of handling the constantly-updated compliance regulations a firm must navigate. Usually any new tech is software of some kind to help make compliance easier to handle. But once you have new tech selected from a vendor, there’s another huge task. The software has to be implemented with and understood by your staff as you train new technology. At the beginning stage, as a chief compliance officer,

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Filed Under: Culture of Compliance, Insider, Software Tagged With: compliance, compliance software

Awesome Compliance Software: Mission Accomplished

November 16, 2020 by Mac Bartine Leave a Comment

Since our inception in 2016, SmartRIA’s mission has been to be the best software company in the world at simplifying compliance for wealth managers. It’s a tall order, but one that we believe is incredibly important, as wealth managers have significant regulatory burdens that need to be made achievable, while also ensuring the regulations’ purpose is maintained: the protection of our personal wealth. Towards this end, we have been working across 3 fronts: Solving more and more compliance problems inside

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Filed Under: General, Software

Client Relationships Matter

Growing Your Firm in Any Season (While Maintaining Trust and Compliance)

October 21, 2020 by Mac Bartine Leave a Comment

In this article, Blain Wease, President of Provincial Development Group, and Mac Bartine, CEO of SmartRIA, explore the 5 dimensions of growth and how a culture of compliance can help to support and organize execution of those dimensions.  We’ll be exploring these in depth in our upcoming webinar. Growing Your Firm in Any Season The skill sets required to grow any business share dimensions from both art and science, and wealth management firms are no exception. We typically find one

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Filed Under: Culture of Compliance, General, Software

Blog Post (2)

Why You Should Invest in Compliance Software

July 28, 2020 by Amy Easterly Leave a Comment

Compliance. It’s tedious, complex, and confusing, especially with regulatory changes and at least yearly changes in exam focus. However, compliance is essential to the success of your firm. Investing in compliance software will save you time, money, and stress in the long run. Choosing the correct solution is important to get the most out of your investment. You want to make sure you get it right the first time, especially with so many novel solutions offered. SmartRIA offers a robust

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Filed Under: Software Tagged With: Audit Prep, audit-ready, compliance, compliance software

cybersecurity

Cybersecurity & You: The Care and Keeping of your Cyber Compliance 

October 29, 2019 by Mac Bartine Leave a Comment

Physical robberies of financial institutions are becoming less common, but cyber attacks are only getting more common. Today, everyone understands that protecting your clients and company is paramount to staying in any financial services game. However, most decision makers of financial institutions don’t know where to start. Fortunately, the SEC has given some guidelines on how to begin managing cybersecurity compliance risks according to their standards: Know what employees have access to and limit access where you can.  Loss prevention

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Filed Under: Cybersecurity, Software

Software to Replace Your Investment Advisor Compliance Checklist

SS&C’s Black Diamond Wealth Platform and SmartRIA Announce Integration Partnership to Streamline Compliance Surveillance

April 22, 2019 by Mac Bartine Leave a Comment

SmartRIA today announced an integration with SS&Cs’ Black Diamond Wealth Platform to significantly streamline the surveillance of compliance activities for well-established RIA firms. The direct connection between the two systems allows RIA firms to use Black Diamond data within SmartRIA. The shared data creates a 360-degree view of client households, which facilitates surveillance of mission critical compliance issues. These can include: client annual reviews, trading inactivity and high account cash balance alerts, viewing and reporting on accounts by discretionary/non-discretionary status

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Filed Under: News, Software

Compliance Budgets Up by 9%, But CCOs Say The Real Cost is Time

Compliance Budgets Up by 9%, But CCOs Say the Real Cost is Time

December 13, 2017 by Mac Bartine Leave a Comment

It’s been a disappointing year for those who thought the new administration would quickly roll back regulations and oversight in the financial industry, including state and SEC compliance for Registered Investment Advisors. This time last year, some RIAs were hoping to decrease their compliance budgets and apply those dollars to other efforts. Contrary to expectations, WealthManagement.com reports that compliance budgets are up by nine percent this year. While some regulatory changes, including the Department of Labor’s Fiduciary Rule, have been

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Filed Under: Compliance Errors, Software

Manage More Clients in Less Time with This RIA Software Tool

Manage More Clients in Less Time with this RIA Software Tool

December 13, 2017 by Mac Bartine Leave a Comment

Working  as a RIA compliance consultant, you need to account for every step of the process, including new client on-boarding, compliance tasks, document storage, and employee management, to audit preparation. You’ll also encounter last-minute items that constantly get added to your checklist. If you’re not using an RIA software solution that makes your job easier, faster, and more efficient, then your business could be wasting precious time and money that could be spent in more profitable (or more fun!) ways. RIA

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Filed Under: Compliance Consultants, Software

Tools for RIA Compliance Consultants

3 Tools for RIA Compliance Consultants

December 12, 2017 by Mac Bartine Leave a Comment

When you’re an RIA compliance consultant, chances are you’ve got more than one job title. In a small business especially, you might also serve as the company CEO, CCO, accountant, social media administrator, human resources representative, or office manager. To perform any or all of these duties well, you need easy-t0-use tools for RIA compliance consultants that can help to optimize your workflows. You’ve got a lot to deal with, and juggling so many tasks can negatively impact your ability

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Filed Under: Compliance Consultants, Software

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