Firm-wide compliance starts with your people.
Automate the policies, workflows, and tracking your team needs to stay compliant—from onboarding to ongoing disclosures.
Complete employee compliance lifecycle.
1
Onboard
Automatically onboard new employees to your compliance program with an email address and start date.
2
Assign
Give your employees only the roles and permissions they need, and identify which sensitive data they have access to.
3
Track
Collect and store employee attestations for outside business activities (OBAs), political contributions, and other required documentation.
4
Involve
Use Smartria to assign employees tasks, include them in workflows, and allow them to submit marketing review forms, among other compliance-related activities.
5
Report
Run audit-ready reports on the status of your employees' compliance with firm policies and procedures.
Complete employee compliance lifecycle.
1
Onboard
Automatically onboard new employees to your compliance program with an email address and start date.
2
Assign
Give your employees only the roles and permissions they need, and identify which sensitive data they have access to.
3
Track
Collect and store employee attestations for outside business activities (OBAs), political contributions, and other required documentation.
4
Involve
Use Smartria to assign employees tasks, include them in workflows, and allow them to submit marketing review forms, among other compliance-related activities.
5
Report
Run audit-ready reports on the status of your employees' compliance with firm policies and procedures.
Complete employee compliance lifecycle.
1
Onboard
Automatically onboard new employees to your compliance program with an email address and start date.
2
Assign
Give your employees only the roles and permissions they need, and identify which sensitive data they have access to.
3
Track
Collect and store employee attestations for outside business activities (OBAs), political contributions, and other required documentation.
4
Involve
Use Smartria to assign employees tasks, include them in workflows, and allow them to submit marketing review forms, among other compliance-related activities.
5
Report
Run audit-ready reports on the status of your employees' compliance with firm policies and procedures.
You can manage it all from one place.
Initial Holdings- Pre-Clearance Requests
- Outside Business Activity
- Policy Training Completion
- Annual Attestations
- Code of Ethics Sign-Off
You can manage it all from one place.
Initial Holdings
Pre-Clearance Requests
Outside Business Activity
Policy Training Completion
Annual Attestations
Code of Ethics Sign-Off
Real-time oversight for every role.
Track who’s completed what—so nothing falls through the cracks.
Create a Culture of Compliance—firm-wide.
See how Smartria empowers employees and simplifies oversight for your compliance team.
