Compliance Manager

Calendar

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).

Integrations

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).

Checklists

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).

Forms

Create, edit, or upload documentation from available templates.

Agreements

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

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.

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.

Dashboard

RSS Feeds, Guidelines, Maps, Alerts, MFA enabled