Compliance Software for Investment Advisers

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MyComplianceOffice combines the power and flexibility of Personal Trading Monitoring, Task Management and Workflow, Document Management, and Case Management in one, “easy to use” solution. This results in cost and risk reduction of your compliance program. It also allows the CCO to adopt, and successfully manage ever changing SEC compliance requirements.


Compliance Software Features

MyComplianceOffice equips RIA Chief Compliance Officers with the tools they need to meet today's regulatory challenges, including:

  • Automate the review of employee personal trading accounts.
  • Streamline approval processes within the Investment adviser for outgoing correspondence, including advertising and sales literature requests.
  • Draft, distribute, and maintain version control over the Investment advisers policies and procedures, e.g. code of ethics, portfolio management processes, trading practices, disclosures, books and records, privacy and security, etc.
  • Collect employee acknowledgements and disclosures easily and record their attestations
  • Monitor gifts, donations and outside interests of appropriate personnel.
  • Organize employee files with "new hire" and "termination" checklists.
  • Enable testing processes of policies and procedures.
  • Ensure registration renewals and other important activities are tracked through to completion.
  • Track on-going activities such as compliance reviews, attestations, and contract renewals
  • Provide offsite location for key disaster recovery documents such as Business Continuity Plan (BCP) and readily accessible access to emergency contact lists.
  • Provide a single, comprehensive management tool to execute the compliance program.

Compliance Software Benefits

  • Reduce the cost of compliance by reducing manual activities and increasing operational effectiveness.
  • Ensure the firm is ready for SEC examinations.
  • Reduce compliance and reputational risks, particularly in ensuring a long term compliance program that is flexible to changes in personnel and rules.
  • Shift senior compliance management focus from routine tasks to core business functions.
  • Demonstrate a culture of compliance to regulators, employees, ownership and clients.