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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 Esper?

Esper functions as an all-encompassing platform designed for the management of government policies and regulations by integrating various documents and data types—including Word files, spreadsheets, email threads, shared drives, and outdated websites—into a cohesive, transparent, and audit-ready system. This organization not only simplifies accessibility to policies and regulations but also reduces the burden on government personnel while promoting compliance and operational efficiency. The Regulation & Code Management feature refines the processes of rulemaking and regulatory drafting through a unified workflow that supports collaborative drafting, redlining, approval procedures, version control, compliance timelines, task assignments, reminders, and automated publishing, all contributing to timely project completion and the identification of potential obstacles. In conjunction, the Policy & Procedure Management aspect centralizes internal policies within a smart framework, providing custom workflows, a searchable policy library, acknowledgment tracking, communication tools, digital attestations, audit trails, reporting dashboards, and analytical insights that equip leaders to showcase compliance during oversight evaluations. By streamlining the management and execution of regulatory frameworks, Esper not only enhances governmental operations but also encourages a more structured and effective governance model, ultimately paving the way for improved public service delivery. This innovative approach not only ensures adherence to regulations but also fosters a culture of accountability and transparency within government entities.

Media

Media

Integrations Supported

Integrations Supported

Microsoft Word

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
Online Training

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Company Facts

Organization Name

Esper

Date Founded

2018

Company Location

United States

Company Website

esper.com

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

Government

Not specified

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