SmartRIA compliance solutions were designed and developed to address the needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth and asset managers, and the staff who support them.
Compliance Management Solutions
All-in-One Compliance Platform for RIAs
Imagine starting your week with a bird’s eye view of your entire firm’s compliance calendar on a simple-to-use dashboard that can be learned in a day with technology that actually improves your processes.
No more spreadsheets tracking annual reviews or who’s signed annual attestations and submitted outside business reports. Using a third-party storage vendor? Build your own encrypted file storage library within SmartRIA platform – it’s included. And so are Oversight Reporting, CRM integrations, Trade Monitoring, and seamless Brokerage Data Feeds.
Be prepared for cyber attacks.
Effective cybersecurity programs require ongoing review and testing. Be confident that your cyber-defense policies and operations will protect the sensitive client data your firm is entrusted with through professional testing and compliance documentation.
SmartRIA has partnered with a MTradeCraft, an experienced, leading cybersecurity auditing company that specializes in security audits for RIA’s and Hedge Funds.
Our partnership allows us to offer a comprehensive program with actual ethical hacker testing and vendor due diligence in one low-cost package where you can have peace of mind at a very competitive cost and have it all documented, so you are ready in the event of an audit.
Data & Vendor Security
Data Governance Platform
Systematic data protection has proved difficult for small businesses to achieve. Until now.
There’s an easier way to manage the complexities data security and privacy. Implement top-tier data processes and protection with SmartRIA’s one-of-a-kind data governance platform. Designed for firms of all sizes, this platform allows you to:
- Understand your data and who is accessing it
- Enhance communication
- Mitigate risks with education
- Automate vendor due diligence
Registration and Ongoing Services
Whether you’re building a new RIA firm or looking to strengthen your compliance solutions management, our expert compliance consultant partners are the key to your success.
We will connect you with one of our Certified Consultant Partners who will guide you through the entire registration process. The business planning process no longer has to be daunting! Using customized workflows and templates you’ll work with your Consultant to create customized workflows and templates that work for you and your team
Using the Smartria Pro™ platform, you’ll stay connected with your Consultant and receive automatic updates on regulatory changes or considerations they provide. Whether you want help preparing for audits, managing regulatory compliance and cybersecurity, or an outsourced Chief Compliance Officer, our Consultant Partners has a solution.