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Average Ratings 0 Ratings

Total
ease
features
design
support

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Write a Review

Description

Red Oak Software, previously known as AdMaster Compliance™, offers a robust suite of features that adhere to SEC 17A-4 regulations, specifically designed to address the changing requirements of both small and large financial institutions. Our innovative workflow software empowers your organization to mitigate risks, cut expenses, and enhance the efficiency of your compliance review procedures. Developing and implementing a successful compliance program can be complex and demands expertise. Our secure, cloud-based platform emerges from extensive collaboration between compliance specialists and technology developers, designed to oversee the entire compliance review lifecycle comprehensively. Acknowledging that compliance is interconnected with various aspects of business, Red Oak Software is crafted to adapt to the dynamic needs of financial firms of all sizes, allowing for smooth collaboration with both your firm's internal teams and the external parties necessary for maintaining full compliance. Ultimately, our solution aims to streamline the compliance process, ensuring that your firm remains both efficient and compliant in today’s regulatory landscape.

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

Screenshots View All

Screenshots View All

Integrations

Red Marker

Integrations

Red Marker

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

Red Oak Compliance Solutions

Founded

2010

Country

United States

Website

www.redoakcompliance.com/admaster/overview/

Vendor Details

Company Name

Smartria

Founded

2011

Country

United States

Website

smart-ria.com

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

Financial Risk Management

Compliance Management
Credit Risk Management
For Hedge Funds
Liquidity Analysis
Loan Portfolio Management
Market Risk Management
Operational Risk Management
Portfolio Management
Portfolio Modeling
Risk Analytics Benchmarks
Stress Tests
Value At Risk Calculation

Policy Management

Approval Process Control
Attestation
Audit Trails
Policy Creation
Policy Library
Policy Metadata Management
Policy Training
Reporting / Analytics
Version Control
Workflow Management

Risk Management

Alerts/Notifications
Auditing
Business Process Control
Compliance Management
Corrective Actions (CAPA)
Dashboard
Exceptions Management
IT Risk Management
Internal Controls Management
Legal Risk Management
Mobile Access
Operational Risk Management
Predictive Analytics
Reputation Risk Management
Response Management
Risk Assessment

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

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