RIA Compliance Technology
HQ Address
10031 E Dynamite Blvd, Scottsdale, AZ 85262, United States
Website Address
Business introduction
Compliance Made Simple, Structured, And Organized
Our technology solutions streamline the compliance process so you can get back to what is most important
RIA Compliance Technology was founded in 2017 by a financial advisor who realized the need for structure and organization throughout the compliance process; this realization began with frustration over complicated regulations, forgotten deadlines, and misplaced information. Today, we build Compliance Management Solutions for Registered Investment Advisory firms. Our technology helps streamline the compliance process, making submissions, data collection, and workflows easy.
Designed by compliance professionals, for compliance professionals. Our services optimize the compliance management process for Registered Advisory Firms and independent Advisors to meet regulation, collection, review, and archiving standards with a simple approach.
RIA Compliance Technology Solutions
Consulting Services
Overall compliance program We work with several consulting firms to connect you with the right firm and provide reliable resources when needed Email archiving options We have many great options to meet your records retention requirements. Let us help you find the right solution for your firm. CRM options In a data-driven world client relation......
business needs
- Business Establishment & Support Services
- Compliance & Regulatory Services
- Technology Strategy & Consulting
Simple Compliance Calendar
Simple Compliance Calendar is a solution to automate and remind you what compliance tasks are due each month. Our simple interface tells you what is due, waiting for more information, and past due. Your one-page dashboard gives you a quick snapshot in seconds. Your Simple Compliance Calendar will allow you to......
business needs
view solutionSimple Compliance Portal
Simple Compliance Portal gives firms a dashboard for their compliance and executive teams, combining the power of our Simple Compliance Calendar and online data gathering tools. Whatever information you need to collect, we provide a solution that includes workflows, route requests, approvals and acknowledgements to your team members. Pricing is simple as it consists......
business needs
view solutionSimple Email Archive
If you are looking for an email archiving solution that just works, ask us about our secure SEC and FINRA compliant solution. Built for compliance teams Simple everything SEC 17a-4(f) and FINRA 2210 compliant Tech stuff for your IT team ...
business needs
view solutionSimple Trade Monitor
Background Your Code of Ethics requires an adviser's "access persons" periodically report personal securities transactions and holdings to their chief compliance officer or other designated persons. Historically, this need is completed by ordering duplicate statements from outside companies or asking employees to provide quarterly statements. The statements are then manually sorted, reviewed,......
