Compliance Portal

Our Compliance Portal is the one place to submit, track, approve and archive compliance information.

The Compliance Portal is our flagship product that combines the power of the Compliance Calendar with our web-based data-gathering forms and customizable workflows, giving your compliance and executive teams complete control of the approval process. Whatever information you need to collect, our solution includes workflows, route requests, approvals, and acknowledgments. Keep track, route, and approve:

Advertising Submission, Outside Business Activity, Employee Onboarding, Attestations, and more

Compliance Officers have designed our solution for Compliance Officers with simplicity, automation, and scalability in mind. Contact us today.

Testimonials

I always fell behind and missed filing dates. With the RIA Compliance Calendar, my anxiety level is way down!

Lisa G

Advisor approvals are a nightmare for me to manage. Whether it’s Ad review, outside business, or attestations, RIA Compliance’s Portal makes it easy.

Richard T

This Platform has thought of everything you need to worry about with compliance. It truly is built by compliance officers.

Henry P