SmartRIA Compliance Platform

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SmartRIA Compliance Platform

Offered by SmartRIA
Savings
20% off SmartRIA software. 50% off onboarding services.
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  • Description
  • Advantage
  • Benefits
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A comprehensive platform that simplifies compliance for wealth managers.

Ready to take your compliance to the next level? SmartRIA streamlines your compliance operations with flexible, automated workflows, risk alerts and transparent reporting, so you can stay audit-ready and focus on growing your business.


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 process. No more spreadsheets tracking annual reviews or who 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.


Experience SmartRIA’s game changing software and refreshing Software as a Partnership™ customer service.

Chalice Network Advantage

  • 20% off of SmartRIA’s award-winning compliance software
  • 50% off of SmartRIA software onboarding services
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Benefits

SmartRIA Pro software is designed to simplify compliance operations for firms of all sizes across 5 major areas of compliance responsibilities in one, easy-to-use platform:

 

  1. Rule 204-2 Compliant Books and Records
  2. Demonstration of Fiduciary Accountability
  3. Effective Supervision of IARs
  4. Documentation of Compliance Training
  5. Implementation and Review of Compliance Program