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Description
Intapp Employee Compliance streamlines the oversight of your firm's employees' financial interests and external engagements while ensuring alignment with internal ethical guidelines and documentation requirements. This solution assists professionals in adhering to both company and regulatory standards, simplifying the oversight process for compliance teams as they monitor individual activities. By equipping employees with intuitive tools, compliance with firm policies becomes more straightforward, allowing for the verification of information using standardized data and the identification of any discrepancies. The system automatically alerts employees about necessary actions and monitors their progress, facilitating timely responses and approvals through effective workflows and notifications. Additionally, it offers detailed histories that are valuable for firm management and regulatory bodies. A centralized hub enables staff to manage and seek authorization for regulated activities efficiently, seamlessly integrating employee compliance with your current HR and trading platforms. To further enhance usability, it provides role-specific, centralized data views along with dynamic reporting capabilities that adapt to the needs of your organization.
Description
Our cutting-edge compliance software caters to a wide range of organizations, from large compliance firms to smaller RIA compliance teams. The SmartRIA platform is specifically tailored to meet the diverse needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth managers, and the personnel that support them. SmartRIA empowers firms like yours to flourish in a competitive landscape. Are you looking for a solution that can efficiently manage hundreds of professionals while scaling alongside your needs? SmartRIA stands out as the most adaptable RIA compliance management platform available in the market. You can trust that your cyber-defense protocols and procedures will safeguard the sensitive client information entrusted to your firm through meticulous professional evaluation and documentation. Leverage SmartRIA to establish robust documentation practices and foster a compliance-oriented culture, ensuring that your operational processes are as efficient and transparent as possible. With the SmartRIA platform, you will join over 2,400 firms that are already benefiting from this effective RIA compliance management tool, making it a trusted choice for the industry. This platform not only simplifies compliance management but also enhances overall operational effectiveness for its users.
API Access
Has API
API Access
Has API
Integrations
No details available.
Integrations
No details available.
Pricing Details
No price information available.
Free Trial
Free Version
Pricing Details
No price information available.
Free Trial
Free Version
Deployment
Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook
Deployment
Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook
Customer Support
Business Hours
Live Rep (24/7)
Online Support
Customer Support
Business Hours
Live Rep (24/7)
Online Support
Types of Training
Training Docs
Webinars
Live Training (Online)
In Person
Types of Training
Training Docs
Webinars
Live Training (Online)
In Person
Vendor Details
Company Name
Intapp
Founded
2000
Country
United States
Website
www.intapp.com/employee-compliance/
Vendor Details
Company Name
Smartria
Founded
2011
Country
United States
Website
smart-ria.com
Product Features
HR Compliance
Alerts / Notifications
Certifications Management
Communication Tools
Customizable HR Documents
Document Management
Records Management
Regulations Monitoring
Reporting / Analytics
Roles / Permissions
Version Control
Workflow Management
Product Features
Compliance
Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation