A refreshing Software as a Partnership®
customer service experience
Experience SmartRIA’s game-changing compliance software
A refreshing Software as a Partnership® customer service experience
Clients & Accounts
Ensure your clients’ money & data stay protected, that fiduciary duty is transparent & documented, and regulatory obligations are fulfilled.
Operations & Records
Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.
Automate quarterly transaction reports, detect front-running, and automate alerts for violations of Code of Ethics.
Automate onboarding to instill a culture of compliance from a new employee’s first day, while streamlining processes.
Our platform streamlines your compliance operations with flexible, automated workflows, risk alerts and transparent reporting.
Simplify complex regulatory operations and stay ahead of risk with our award-winning compliance monitoring platform. Leverage real-time insights of employee activity tracked against your firm’s rules and regulations.
Clients & Accounts
Ensure your clients’ money and data stay protected, that fiduciary duty is transparent and documented, and that regulatory obligations are fulfilled.
Employee Trade Monitoring
Automate quarterly transaction reports and eliminate the need for duplicate statements with our Plaid integration for Held Away Accounts. Combined with Client Data Feeds, compliance teams can detect front-running and violations of Code of Ethics
The process of onboarding and offboarding employees comes with certain challenges for the compliance team. Leveraging Smartria’s automated onboarding helps instill a culture of compliance from a new employee’s first day, while saving time and energy for both the compliance team and the new employee’s supervisor.
Client Reviews & Reporting
Regulatory Books & Records