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Description

AI-Powered Remote Workforce Integration Platform Product Overview The next-generation employee monitoring system designed for remote and hybrid workers. Helps organizations detect and prevent dual employment, while maintaining compliance with FCRA and privacy laws. No employee devices are required to operate invisibly. Core Capabilities: β€’ Automated dual employment detection β€’ Conflict of Interest Monitoring β€’ Real-time alerts for worker integrity β€’ Privacy-first compliance management Features and Technical Specifications: β€’ Seamless integration of HR systems Cloud-based SaaS Architecture β€’ Enterprise-grade security β€’ Role-based access control and SSO β€’ Automated compliance documentation Differentiators: β€’ No employee device monitoring required β€’ Fully compliant with FCRA and privacy laws β€’ No impact on employee workflow β€’ AI-powered continuous Monitoring β€’ Transparent employee consent procedure

Description

Smartria is a cloud-based RIA compliance management platform built specifically for registered investment advisors, chief compliance officers, and compliance consulting firms. The software centralizes SEC and FINRA compliance activities and can be configured around an individual firm's policies, workflows, employees, and regulatory requirements. Compliance management tools help firms track recurring tasks, forms, deadlines, alerts, reminders, filings, and other activities needed to maintain an ongoing compliance program. Marketing review workflows streamline the submission and approval of marketing materials while maintaining records of approvals and rejections. Employee oversight capabilities record attestations covering areas such as codes of ethics, outside business activities, personal holdings, political activities, and insider relationships. Smartria's trade monitoring solution supports customized trade rules, pre-clearance processes, front-running alerts, and KYC and KYE requirements. Vendor management tools allow firms to maintain vendor records and track security certifications, attestations, and incidents from a centralized location. Automated workflows can also support employee onboarding, regulatory filings, record retention, activity logging, reporting, and other recurring compliance processes. Smartria offers configurations for boutique, growing, and enterprise RIAs as well as multi-client access, content publishing, and in-app communications for compliance consultants.

API Access

Has API No 

API Access

Has API No 

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Integrations

No details available.

Integrations

No details available.

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Customer Support

Business Hours No 
Live Rep (24/7) No 
Online Support Yes 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support No 

Types of Training

Training Docs Yes 
Webinars No 
Live Training (Online) No 
In Person No 

Types of Training

Training Docs Yes 
Webinars No 
Live Training (Online) Yes 
In Person No 

Vendor Details

Company Name

Emplens

Founded

2024

Country

United States

Website

www.emplens.com

Vendor Details

Company Name

Smartria

Founded

2011

Country

United States

Website

smart-ria.com

Product Features

Employee Monitoring

Activity Monitoring No 
Browsing History No 
Email Monitoring No 
Keystroke Recording No 
Productivity Analysis No 
Remote Control No 
Screen Activity Recording No 
Time & Attendance No 
Time Tracking No 

Product Features

Compliance

Archiving & Retention Yes 
Artificial Intelligence (AI) No 
Audit Management Yes 
Compliance Tracking No 
Controls Testing No 
Environmental Compliance No 
FDA Compliance No 
HIPAA Compliance No 
ISO Compliance No 
Incident Management No 
OSHA Compliance No 
Risk Management Yes 
Sarbanes-Oxley Compliance No 
Surveys & Feedback No 
Version Control No 
Workflow / Process Automation No 

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