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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.

About

Take the stress out of SOX compliance with policyIQ, by simplifying oversight and maximizing efficiency. With the easy configuration tools in policyIQ, our solution will meet your unique needs and will be ready to go within weeks – without the heavy price tag of a custom solution. Save time and reduce error by updating a control just once, with changes flowing through all reports and views. Gain oversight with customized dashboards to see progress and results in real-time. Be proactive in the collection of audit evidence by issuing requests for documentation in advance. Automate control attestations, reviews, and 302 sub-certification processes with simple electronic forms. Implement automated workflows to route changes or escalate issues. Link policies to related compliance content, such as regulatory frameworks or internal controls.

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 Supported
iPad Supported
Android Supported
Chromebook Not Supported

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

Audience

Policy Management solution for companies

Support

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

Support

Phone Support Supported
24/7 Live Support Not Supported
Online 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 1.0 / 5
ease 1.0 / 5
features 1.0 / 5
design 1.0 / 5
support 1.0 / 5

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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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 Not Supported
Live Online Supported
In Person Not Supported

Training

Documentation Supported
Webinars Supported
Live Online Supported
In Person Not Supported

Company Information

Smartria
Founded: 2011
United States
smart-ria.com

Company Information

policyIQ
Founded: 1996
United States
www.policyiq.com

Alternatives

Alternatives

Predict360

Predict360

360factors
My Insider

My Insider

MyInsider

Categories

Compliance Supported

Categories

Policy Management 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

Policy Management Features

Approval Process Control Supported
Attestation Supported
Audit Trails Supported
Policy Creation Not Supported
Policy Library Not Supported
Policy Metadata Management Supported
Policy Training Supported
Reporting / Analytics Supported
Version Control Supported
Workflow Management Supported

Integrations

No info available.

Integrations

No info available.
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Claim Smartria and update features and information
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