Glossary · Compliance OS
What is a Compliance OS?
A Compliance OS is an integrated operating system for a regulated firm's compliance program — three AI platforms plus a fractional human team, running one connected workflow. FIN Group's Compliance OS combines RegReview, InvestPrep, ADScanner, and a fractional CCO team into a single system for RIAs, private funds, broker-dealers, and family offices.
The four layers
FIN RegReview
Compliance OS
AI compliance calendar, action plan, annual review workflows, and supervisory station for RIAs, broker-dealers, and funds.
FIN InvestPrep
Private Capital OS
LP onboarding, subscription docs, accredited-investor verification, fund admin, and DDQ automation for private capital.
FIN ADScanner
Marketing Review
Line-by-line marketing scans against SEC, FINRA, FCA, CSA, and ASIC rules — with URL and document intake.
FIN Fractional Team
Human layer
Named CCO, consultants, and analysts who operate the OS on your behalf — DIY, Managed DIY, or Done-For-You.
FAQ
What is a Compliance OS?
A Compliance OS is an integrated operating system for a regulated firm's compliance program: policies, calendar, workflows, filings, marketing review, investor onboarding, and supervisory testing — all connected — plus a fractional human team that runs it. FIN Group's Compliance OS combines RegReview (compliance workflows), InvestPrep (fund and LP workflows), ADScanner (marketing review), and a fractional CCO team.
How is a Compliance OS different from compliance software?
Compliance software is a tool. A Compliance OS is the tool plus the workflows, the human operators, and the compliance policies stitched together into one system. Software alone leaves the firm to figure out what to do; a Compliance OS delivers the outcome — a passed exam, a filed ADV, an approved marketing piece.
Who runs the Compliance OS — the firm or FIN Group?
Both, depending on the delivery mode. DIY: your team runs it. Managed DIY (RDR, $199/mo): a FIN consultant monitors the calendar, answers Q&A, and sends reminders. Done-For-You (from $750/mo): a FIN consultant operates the workflows — filings, exam prep, annual reviews — inside the OS.
What firms is the Compliance OS built for?
SEC- and state-registered investment advisers, private funds, broker-dealers, family offices, insurance and real-estate firms with securities activity, fintech and crypto issuers, and law firms and CPAs that support regulated clients.
Is the Compliance OS trademarked?
"Compliance OS," "Private Capital OS," and "Marketing Review" are used by FIN Group and Roberson Ventures Group, Inc. as product-family names for RegReview, InvestPrep, and ADScanner.