Simple
Compliance Portal
Our Compliance Portal is the one place to submit, track, approve and archive compliance information.
Simple Compliance Portal is our flagship product which combines the power of the Simple Compliance Calendar with our web-based data-gathering forms and customizable workflows. This integration allows your compliance and executive teams complete control of the approval process. Our solution includes workflows, route requests, approvals, and acknowledgments to keep track of, route, and approve:
Advertising Submission
Outside Business Activity
Employee Onboarding
Attestations
And more
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