Data Governance and
Vendor Due Diligence
– Made Easy

Data Governance And Vendor Due Diligence – Made Easy

Vendor Security

SmartRIA Governance’s Vendor Security is about more than just automated due diligence of your selected vendors.
  • IDENTIFY – Identify the vendors used across your firm and within your branch offices.
  • EVALUATE – Evaluate risks based on vendors’ cybersecurity policies, procedures and the types of data they store.
  • MONITOR – Monitor vendor attestations, contract status, security news and more.
  • MANAGE – Easily add additional vendors from hundreds of vendors already verified within Smartria Governance.
  • REPORT – Run audit-ready reports on the status of your vendors and who’s using them.

Incident Reporting

What happens when there is a security breach? Is your firm prepared?
  • ALERT – Stay aware of data breaches with push notifications from the vendor due diligence system when breaches are discovered.
  • DOCUMENT – Document internal data breaches and security or policy-related incidents and resolutions within your firm.
  • NOTIFY – Notify your clients of incidents that affect them.

Employee Data Access

The SEC requires firms to protect data, and keep a list of persons with access to data in the firm’s Code of Ethics.
Using SmartRIA Data Governance platform, firms have a simple to use system to monitor, manage and report on employee access across operational systems used.
  • MONITOR – Monitor employee access to sensitive data.
  • MANAGE – Easily manage employee history, access, policy attestations and trainings.
  • REPORT – Immediate ability to update your Code of Ethics whenever employee access to data changes.
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