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About

With our automated compliance and global trade management software solutions, you can proactively mitigate risk, protect employee resources and time and save money. Contact us today to see how you can streamline your workflows and minimize the risk of financial penalties and fines. Manage every step of the export lifecycle from order creation to shipment consolidation. Streamline the process of customs and clearances and focus on your core areas. Monitor every authorization required for international trade and increase efficiency. Protect your business with our trademark technologies for ID authentication. Gain access to an extensive library of learning content and tools to better understand your compliance obligations. A comprehensive set of worldwide lists from the government and non-government sources. Fuzzy logic support with customizable parameters for different attributes. Notify users of screening status with detailed results and automated workflows.

About

Smartria is RIA compliance software designed to help registered investment advisors, chief compliance officers, and compliance consultants centralize and automate SEC and FINRA compliance programs. The platform comes pre-configured for relevant regulatory requirements while allowing firms to customize workflows and processes to their specific compliance needs. Compliance management features organize tasks, forms, deadlines, alerts, reminders, regulatory filings, and record retention within a centralized system. Smartria also provides marketing review workflows, employee attestations, trade monitoring, vendor management, employee oversight, and automated employee onboarding. Trade monitoring supports customized trade rules, pre-clearance, front-running alerts, and Know Your Client and Know Your Employee requirements.

Platforms Supported

Windows Not Supported
Mac Not Supported
Linux Not Supported
Cloud Supported
On-Premises Not Supported
iPhone Not Supported
iPad Not Supported
Android Not Supported
Chromebook Not Supported

Platforms Supported

Windows Not Supported
Mac Not Supported
Linux Not Supported
Cloud Supported
On-Premises Not Supported
iPhone Not Supported
iPad Not Supported
Android Not Supported
Chromebook Not Supported

Audience

Companies and enterprises seeking a solution to automate compliance and improve their trading operations

Audience

Registered investment advisors, chief compliance officers, compliance teams, wealth management firms, and compliance consultants that need to manage, automate, document, and scale SEC and FINRA compliance programs

Support

Phone Support Supported
24/7 Live Support Not Supported
Online Supported

Support

Phone Support Supported
24/7 Live Support Not Supported
Online Not Supported

API

Offers API Supported

API

Offers API Not Supported

Screenshots and Videos

Screenshots and Videos

Pricing

No information available.
Free Version Not Supported
Free Trial Not Supported

Pricing

No information available.
Free Version Not Supported
Free Trial Not Supported

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

This software hasn't been reviewed yet. Be the first to provide a review:

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Reviews/Ratings

Overall 1.0 / 5
ease 1.0 / 5
features 1.0 / 5
design 1.0 / 5
support 1.0 / 5

Pros & Cons from Real Users

Pros

  • Not much I can say that is a pro for this platform except that I am usually capable of logging in to the system and eventually completing tasks.

Cons

  • It is horribly unreliable. Unintuitive. Clunky. No evolution. Just crap. The support is even worse. It is non-existent.

Training

Documentation Supported
Webinars Supported
Live Online Supported
In Person Supported

Training

Documentation Supported
Webinars Not Supported
Live Online Supported
In Person Not Supported

Company Information

OCR
United States
www.ocr-inc.com

Company Information

Smartria
Founded: 2011
United States
smart-ria.com

Alternatives

Alternatives

My Insider

My Insider

MyInsider

Categories

Categories

Compliance Supported

Compliance Features

Archiving & Retention Supported
Artificial Intelligence (AI) Not Supported
Audit Management Supported
Compliance Tracking Not Supported
Controls Testing Not Supported
Environmental Compliance Not Supported
FDA Compliance Not Supported
HIPAA Compliance Not Supported
Incident Management Not Supported
ISO Compliance Not Supported
OSHA Compliance Not Supported
Risk Management Supported
Sarbanes-Oxley Compliance Not Supported
Surveys & Feedback Not Supported
Version Control Not Supported
Workflow / Process Automation Not Supported

Integrations

Dow Jones Risk & Compliance Supported
JSON Supported
Kuebix Supported
Microsoft Dynamics 365 Supported
OnGuard Supported
Oracle Cloud Infrastructure Supported
SAP Cloud Platform Supported
Salesforce Supported

Integrations

Dow Jones Risk & Compliance Not Supported
JSON Not Supported
Kuebix Not Supported
Microsoft Dynamics 365 Not Supported
OnGuard Not Supported
Oracle Cloud Infrastructure Not Supported
SAP Cloud Platform Not Supported
Salesforce Not Supported
Claim OCR Global Trade Management and update features and information
Claim OCR Global Trade Management and update features and information
Claim Smartria and update features and information
Claim Smartria and update features and information