michael.pendergrass
Acronym
SmartRIA
Product ID
SmartRIA-Pro-Platform
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Description
SmartRIA is a comprehensive platform that simplifies compliance for wealth managers.
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Details
- Streamline employee onboarding and automate firm compliance using our template workflows that can be customized for your firm.
- Leverage automation and compliant-file storage to manage and maintain SEC-compliant books and records
- Never miss a client annual review or a chance to demonstrate fiduciary duty to your clients using our Client Annual Review Reports
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- Detect front-running and black-out period violations
- Verify trades with company rules
- Simplify trades and holdings reports
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- Archive email for your entire team, match to clients and easily reproduce for reporting and examinations.
- Use keywords, flags, and reports to maintain oversight of your firm’s email.
- Schedule reports to review random sampling of a percentage of emails over a period of time. Quickly reproduce data for internal and external audits.
Features
SmartRIA is a comprehensive platform that simplifies compliance for wealth managers:
- Streamline compliance with workflows, templates and reporting
- Enhance oversight and automate reports with Trade Monitoring
- Simplify email archiving and review with SmartRIA Archive
Vendors
Management Style
Schwab Products
Solution