What is Smartria?
Smartria provides a comprehensive compliance management platform tailored for registered investment advisors (RIAs) to streamline regulatory adherence. The software centralizes compliance operations, automates workflows, and scales with firms of various sizes from boutique to enterprise levels. Pre-configured for SEC and FINRA rules and regulations, it offers customizable solutions to meet specific firm requirements while maintaining audit readiness.
The platform features automated employee onboarding, regulatory filings, trade monitoring, vendor management, and marketing reviews. With robust reporting capabilities and activity logging for all employees, Smartria helps create a culture of compliance while reducing manual workload. Built by an RIA for RIAs, the platform has served the industry for eight years with SOC 2 compliant infrastructure and dedicated customer success support.
Features
- Compliance Management: Tasks, forms, deadlines, alerts, and reminders to stay compliant daily
- Trade Monitoring: Customized trade rules, pre-clearance, and front-running alerts for KYC and KYE requirements
- Vendor Management: Track security certifications, vendor attestations, and incidents with curated or custom vendor lists
- Employee Attestations: Automatically record employee attestations for code of ethics, outside business activities, and personal holdings
- Marketing Reviews: Streamline marketing material reviews with automatic record-keeping of rejections and approvals
Use Cases
- Automating SEC and FINRA compliance processes for investment advisory firms
- Centralizing compliance documentation and record retention for audits
- Streamlining employee onboarding and attestation processes
- Monitoring trades for compliance with regulatory requirements
- Managing vendor relationships and security certifications
