Let’s face it, Compliance Management is a daunting task when you first think about it. Constantly consumed by questions; What needs to be done? How much time do I dedicate? What happens if I mess something up? Will the regulators put me out of business?
The honest answer is “It Depends”.
Your compliance program is based on the complexity of your financial services firm, the type of advice and securities you recommend, number of clients and employees, and several other factors. With that being said, the majority of small to medium size RIAs don’t need to spend copious amounts of time, money and other resources to get the basics done.
What are compliance basics? Having a plan, a roadmap, and a solution to keep you organized and on track is a great starting point.
“If you don’t know where you are going, any road will get you there”
– Lewis Carroll, English Author and Poet
At RIA Compliance Technology, we believe that your roadmap begins and ends with your Compliance Calendar.
What will a compliance calendar do for you? It will organize tasks to remind you what needs to be done, when it needs to be done, so you don’t have to worry about it.
What would you rather be doing? Worrying about compliance tasks, or working with your clients and playing a round of golf?
I think we know the answer to that question.
RIA Compliance Technology has a customizable Compliance Portal solution that includes a simple, structured, and organized compliance calendar with a comprehensive interface to upload documentation, mark tasks complete, and make sure you are up-to-date on the latest needs in your compliance process. When you use our Compliance Portal, all your compliance data is saved and ready for your next audit.
Schedule a one-on-one demo with our in-house compliance specialists and discover how our technology can support your individual needs.