Ratings and Reviews 1 Rating

Total
ease
features
design
support

Ratings and Reviews 0 Ratings

Total
ease
features
design
support

This software has no reviews. Be the first to write a review.

Write a Review

Alternatives to Consider

  • Predict360 Reviews & Ratings
    18 Ratings
    Company Website
  • Haast Reviews & Ratings
    5 Ratings
    Company Website
  • SDS Manager Reviews & Ratings
    4 Ratings
    Company Website
  • Sumsub Reviews & Ratings
    235 Ratings
    Company Website
  • MedTrainer Reviews & Ratings
    250 Ratings
    Company Website
  • Captain Compliance Reviews & Ratings
    337 Ratings
    Company Website
  • iTacit Reviews & Ratings
    46 Ratings
    Company Website
  • Rippling Reviews & Ratings
    21,048 Ratings
    Company Website
  • LeaseAccounting.app Reviews & Ratings
    Company Website
  • Breathe Reviews & Ratings
    655 Ratings
    Company Website

What is Smartria?

Smartria is a purpose-built RIA compliance software platform for managing and automating SEC and FINRA compliance programs. The platform is designed for registered investment advisors and can be customized around the compliance requirements, policies, workflows, and organizational structure of individual firms. Its compliance management capabilities centralize tasks, forms, regulatory deadlines, alerts, reminders, filings, records, and other recurring compliance activities. Automated workflows allow firms to reduce manual work associated with processes such as new employee onboarding, regulatory filings, employee oversight, and ongoing compliance administration. Marketing review tools manage the submission, review, approval, and rejection of marketing materials while automatically maintaining records of those decisions. Employee attestation capabilities document employee acknowledgments related to codes of ethics, outside business activities, personal holdings, political activities, insider relationships, and other compliance requirements. Smartria also provides trade monitoring with customizable trade rules, pre-clearance workflows, front-running alerts, and support for Know Your Client and Know Your Employee requirements. Vendor management functionality helps compliance teams maintain vendor information and monitor security certifications, vendor attestations, and reported incidents. Access and activity logging combined with reporting tools provide records of employee participation and compliance activity that can help firms prepare for regulatory audits. Smartria supports boutique RIAs, growing advisory firms, and enterprise organizations, with enterprise capabilities including branch management and SOC 2-aligned security infrastructure. Compliance consulting firms can use multi-client access, content publishing, and in-app communications to manage compliance programs for multiple RIA clients from the platform.

What is Brightmine?

Brightmine functions as an all-encompassing platform dedicated to HR compliance and talent strategy, seamlessly blending trustworthy people data with cutting-edge AI technology, expert consultations, and a variety of tools aimed at aiding HR departments in navigating complex regulatory landscapes, reducing risks, and improving workforce outcomes. The platform consolidates access to legislative updates from federal, state, local, and global levels, offering proactive legal advice, insightful HR analytics, and a comprehensive collection of compliance resources. Notable features include the HR & Compliance Center and Automated Handbook Management, which leverage AI to monitor regulations, evaluate employee handbooks, identify compliance gaps, and issue timely alerts. By meticulously tracking a wide range of employment laws and providing templates and resources developed by HR experts and legal practitioners, Brightmine keeps organizations abreast of the most recent wage laws, pay transparency efforts, and other total rewards considerations. Additionally, this powerful platform facilitates the development of competitive compensation strategies that adapt to the continuously changing demands of the workforce. Ultimately, with Brightmine, HR teams gain the tools and insights necessary to not only tackle compliance hurdles but also to advance their overall talent strategies effectively. This positions them to better support their organizations in achieving sustained success and fostering a more compliant workplace culture.

Media

Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

API Availability

Pricing Information

Pricing not provided

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support

Customer Service / Support

Web-Based Support

Training Options

Documentation Hub
Online Training

Training Options

Documentation Hub
Webinars
Online Training

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Company Facts

Organization Name

Brightmine

Date Founded

2002

Company Location

United Kingdom

Company Website

www.brightmine.com

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

HR Compliance

Not specified

Popular Alternatives

Popular Alternatives

My Insider Reviews & Ratings

My Insider

MyInsider