Experience SmartRIA’s
game-changing
compliance software

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.

 

Trade Monitoring

Automate quarterly transaction reports, detect front-running, and automate alerts for violations of Code of Ethics.

 

Employee Onboarding

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.

Client Agreements & Correspondence

Client Trades & Alerts

Client Billing & Fee Documentation

Client Reviews & Reporting

Operations & Records

Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.

Client Reviews & Reporting

Regulatory Books & Records

Operational Review

Regulatory Books & Records

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

Code of Ethics

Trade Monitorings

Personal Trading Procedures

Trade Reporting

Employee Onboarding

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

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