IT Compliance Services for RIAs and Financial Advisors
Spend less time worrying about IT issues and gain the freedom to focus on your area of expertise when you let the experts take care of your RIA or financial advisory firm’s IT compliance.
Your path to headache-free IT compliance
For any RIA or financial advisory firm, compliance is imperative to maintaining its reputation and reassuring clients that all wealth management operations meet the required standards. This is no different for IT compliance. When you partner with RIA WorkSpace, the burden of IT compliance, often outside the skillset of a Chief Compliance Officer (CCO), is taken off your shoulders. Without having to figure out complicated IT compliance issues and constantly checking up on employees to see if they are meeting standards, your CCO will be free to focus on everyday compliance matters and business efficiency. IT compliance doesn’t have to be an obstacle to success — use it to your advantage to make life easier for your RIA or financial advisory firm.
Many RIA and financial advisory firms face similar IT compliance challenges. Are you one of them?
- We don’t have time to figure out how to meet complicated IT compliance standards.
- We are worried about the possible reputational and financial risks of not achieving IT compliance.
- We waste too much time micromanaging employees with regards to IT compliance.
- We need an IT partner we can trust, someone who understands IT compliance for RIA and financial advisory firms.
IT compliance is easy with RIA WorkSpace
At RIA WorkSpace, we understand that IT compliance is all-encompassing — no matter the size of your organization. There’s no escaping the responsibility of complying with industry regulations, government policies, and security frameworks, among others. With various day-to-day wealth management IT compliance issues to handle, it’s no wonder RIA and financial advisory firms often struggle to manage their IT compliance on their own. From handling SEC interactions to being compliant with financial advice and marketing literature, CCOs have their hands full. When you partner with RIA WorkSpace, we alleviate pressure by taking care of IT compliance. Give your RIA or financial advisory firm’s CCO the opportunity to thrive without being overwhelmed by IT issues with our automated IT compliance solution.
How you will benefit:
- Automated IT compliance – You no longer have to micromanage employees to ensure they are compliant with regulations.
- Productivity – With IT compliance taken care of, your RIA firm’s CCO is free to focus on key priorities.
- Control – You have access to audit logs for email, files, and moving/deleting folders, in addition to admin access, app access, sign in, and much more.
- Data retention and archiving – The RIA WorkSpace Platform powered by Microsoft provides retention and archiving solutions for emails, chats, and files, meaning compliance standards are met — there’s no need to pay for expensive third-party solutions.
- Enhanced reporting – In the event of an SEC audit, RIA WorkSpace provides a comprehensive report covering all your bases.
Achieving IT compliance for your RIA firm is easy
1
Discovery call
Tell us your technology goals and struggles in an initial conversation. We’ve been providing specialized technology solutions for RIAs and financial advisors since 2007. We understand your challenges and will answer your questions.
2
Strategic technology plan
We assess your current infrastructure and develop a roadmap to make it more efficient, reliable, and secure. You can hire us to execute this plan or implement it on your own.
3
Onboarding and progress
We have an efficient and proven transition process. Your new dedicated IT team will start implementing changes on a priority basis with immediate benefits and minimal disruption.