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Average Ratings 1 Rating
Description
Esper serves as a comprehensive platform for managing government policies and regulations, consolidating various documents and data from Word files, spreadsheets, email inboxes, shared drives, and outdated websites into a single, transparent, and audit-ready framework. By organizing and maintaining accessibility of policies and regulations, it alleviates the workload on government staff while ensuring compliance and efficiency. The Regulation & Code Management feature streamlines the rulemaking and regulatory drafting processes into an integrated workflow, enabling collaborative drafting, redlining, approval processes, version control, compliance deadlines, task assignments, reminders, and automated publishing, which all work together to keep projects on schedule and highlight any potential bottlenecks. Meanwhile, the Policy & Procedure Management component centralizes internal policies within an intelligent system, offering tailored workflows, a searchable library of policies, acknowledgment tracking, communication tools, digital attestations, audit trails, reporting dashboards, and analytical insights that empower leaders to demonstrate compliance during oversight reviews. Overall, Esper enhances the way governments manage and implement their regulatory frameworks, fostering a more organized and effective approach to governance.
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
Integrations
Microsoft Word
No
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)
Yes
In Person
No
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
Yes
In Person
No
Vendor Details
Company Name
Esper
Founded
2018
Country
United States
Website
esper.com
Vendor Details
Company Name
Smartria
Founded
2011
Country
United States
Website
smart-ria.com
Product Features
Government
Budgeting & Forecasting
No
Code Enforcement
No
Compliance Management
No
Fixed Asset Management
No
Inventory Management
No
License Issuance
No
Permit Issuance
No
Purchasing & Receiving
No
Self Service Portal
No
Taxation & Assessment
No
Utility Billing
No
Work Order Management
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