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.
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