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.
Unlock a better IT experience for your firm
- Automate your compliance tasks to let your CCO focus on high-value regulatory strategy instead of technical micromanagement.
- Gain peace of mind with 7-year file retention and disaster recovery plans that align with FINRA standards, which come automatically with our services.
- Leverage detailed logs and reporting to ensure your firm is always prepared for SEC audits.
- Access specialized IT support for small and medium-sized RIA and financial advisory firms to navigate complex regulations effortlessly.
Why is automated IT compliance critical for your firm?
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.
How does RIA WorkSpace simplify your IT compliance?
As the best IT partner for small and midsized RIAs, we understand that IT compliance is all-encompassing. In the wealth management industry, 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:
- Freedom from employee compliance micromanagement
- Reclaimed time for your CCO to focus on strategic priorities
- Comprehensive administrative controls and detailed audit logs
- Cost-effective, built-in retention and archiving solutions for emails, chats, and files
- Comprehensive reporting for SEC audits
Frequently asked questions
Generic providers lack regulatory expertise. As the best IT partner for small and midsized RIAs, we proactively manage your unique wealth management IT compliance needs, helping your CCO focus on strategic oversight.
We specialize in delivering customized IT support for small and medium-sized RIA and financial advisory firms that need enterprise-level IT compliance without the enterprise price tag.
No, our platform supports your CCO. We handle the technical IT side of compliance — such as data retention and access logs — so your CCO can focus on regulatory strategy and business operations.
We implement secure, automated systems featuring 7-year file retention and disaster recovery plans that align with FINRA and SEC regulations, ensuring your communications are always audit-ready.
We retain comprehensive audit logs and auto-versioning, meaning deleted files can be easily tracked and fully restored within minutes.
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.