Compliance 360 vs Smart RIA

Compliance 360

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Smart RIA

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Description

Compliance 360

Compliance 360

Compliance 360 is a software solution designed to help businesses navigate the complexities of regulatory compliance and risk management. This platform is built to simplify the way organizations handl... Read More
Smart RIA

Smart RIA

Starting and running a Registered Investment Advisor (RIA) firm is no small feat, and that's where Smart RIA comes in. Smart RIA is specially designed to help financial advisors and compliance officer... Read More

Contact Info

Year founded :

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+5692736078

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Chile

http://www.linkedin.com/company/compliancec360

Year founded :

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Features

Risk Management

Risk Assessment Tools
Incident Tracking
Continuous Monitoring
Risk Assessment
Risk Mitigation Planning

Audit Management

Automated Audits
Audit Trails
Audit Scheduling
Reporting Tools
Audit Trail

Policy Management

Centralized Policy Repository
Policy Updates
Version Control
Policy Creation Tools
Centralized Repository

Incident Management

Response Plans
Incident Reporting
Incident Reporting
Corrective Action Tracking
Root Cause Analysis

Training and Awareness

Knowledge Base
Employee Training

Training Management

Progress Tracking
Certifications Management
Training Programs

Task Management

Progress Tracking
Automated Task Assignment

Compliance Management

Audit Preparation
Automated Compliance Tracking
Document Management

Data Security

Access Controls
Encryption

Client Management

Client Portal
Profile Management

Pricing

Compliance 360 logo

Pricing Not Available

Smart RIA logo

Pricing Not Available

Metrics History

Metrics History

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