Compliance Manager

FIN Compliance looks great on all devices

Our compliance management desktop portal is designed to help firms to review, test, store, prepare, and document all firm compliance requirements.

Our system also integrates with other technology solutions for firms to manage all SEC, State, FINRA, NASAA, and other fiduciary requirements on an ongoing basis.


Build an annual task list, keep track of all required filings, send alerts, and/or automate tasks onto third party app using Zapier.

Inquire about our calendar management service to have one of our consultants help you build or manage your calendar (fee applies).

Calendar Screensot
Integrations screenshot


Integrate tasks from our calendar using Zapier.

Contact Us to build a custom data sync or integration for compliance app features using our API (fee applies).


Self-audit checklists to review compliance requirements, policies, processes, and procedures.

Inquire about our integration serviceintegration service to build custom checklists or workflow third party apps (fee applies).

Checklists screenshot
Compliance Forms screenshot


Create, edit, or upload documentation from available templates.


Sample advisory, financial planning, Independent contractor, and solicitor templates available.

Agreements Screenshot
Disclosure Center Screenshot

Disclosure Center

Disclosures delivery admin portal for the upload and delivery of disclosures to clients, staff, solicitors, investors, and prospects.

Review Center

Quarterly best practices and self-audit form to complete the annual review of compliance program throughout the year.

Review Center Screenshot
Cloud Storage Screenshot

Cloud Storage Directory

Print, file, store, or sync records to or from our Compliance Cloud directory (up to 100GB).

Audit Logs

Public Disclosure

Track disclosure delivery requests

Staff Disclosure

Track Disclosure Delivery and Code of Ethics Reporting Logs, Marketing Requests, Gifts/Entertainment Lists, Personal Securities Requests, Other Business Activities, and more.

Third-Party Tech

Import/Aggregate your third-party compliance reports onto our system to conduct ongoing reviews of fee billing, email archiving, and more.

Audit logs Screenshot
Dashboard Screenshot


RSS Feeds, Guidelines, Maps, Alerts, MFA enabled

Compliance App

(Compliance manager for staff, teams, consultants)

Integrated with a disclosure center to transfer items to a Disclosure App

Disclosure App

(Disclosure portals for communications with clients, staff, investors, and vendors)