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About

Proofpoint Intelligent Supervision is a digital communications governance solution that enables organizations to monitor, review, and report on employee communications to meet strict regulatory compliance requirements. It uses machine learning, natural language processing, and contextual message analysis to help compliance teams identify potential violations across email, social media, instant messaging, and collaboration tools. It streamlines supervisory workflows by reducing low-risk noise through intelligent sampling, advanced filtering, and violation previews so reviewers can focus on high-risk content more efficiently. It provides rich dashboards and real-time alerts that highlight compliance risks, track reviewer productivity, and expose bottlenecks in the review process, giving organizations full visibility into supervision activities.

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

Compliance and risk teams in highly regulated industries that need automated supervision of employee communications to meet regulatory requirements

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 Supported
Online Supported

Support

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

API

Offers API Not 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:

Review this Software

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 Not Supported

Training

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

Company Information

Proofpoint
Founded: 2002
United States
www.proofpoint.com/us/products/digital-communications-governance

Company Information

Smartria
Founded: 2011
United States
smart-ria.com

Alternatives

Proofpoint Patrol

Proofpoint Patrol

Proofpoint

Alternatives

My Insider

My Insider

MyInsider

Categories

Digital Governance Supported

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

No info available.

Integrations

No info available.
Claim Proofpoint Supervision and update features and information
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