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?

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:

Achieving IT compliance for your RIA firm is easy

In only a few easy steps, we can get you on the path to fully automated IT compliance.


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.


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.


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.