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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 NAVEX One?

The NAVEX One Governance, Risk, and Compliance Information System (GRC-IS) offers a comprehensive approach to effectively handle various risks associated with business operations, including those arising from employee behavior, evolving regulations, and international happenings. Our cloud-based platform streamlines risk management and compliance tasks, facilitating processes such as the onboarding of new hires through ethics training and policy acknowledgments, as well as the screening and continuous monitoring of third-party vendors. Additionally, we enhance business efficiency by automating workflows and integrating risk identification into everyday operations. Moreover, our system empowers organizations to extract valuable insights from their data, ultimately leading to more informed decision-making and strategic planning. By utilizing NAVEX One, businesses can navigate the complexities of risk management with greater confidence and precision.

Media

Media

Integrations Supported

Integrations Supported

EthicsPoint
NAVEX ESG
NAVEX IRM
NAVEXEngage
PolicyTech
RiskRate

API Availability

API Availability

Has API

Pricing Information

Pricing not provided

Pricing Information

Save up to 20% when you add to or buy multiple NAVEX One solutions. Choose from hotline and incident management, policy and procedures, training, COI disclosures, or third-party risk management. Includes our employee compliance portal, People Hub.
Free Trial Offered?

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support

Customer Service / Support

Standard Support
24 Hour 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

NAVEX

Date Founded

2004

Company Location

United States

Company Website

www.navex.com/en-us/products/

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

Compliance

Archiving & Retention
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
Incident Management
Risk Management
Surveys & Feedback
Version Control
Workflow / Process Automation

Compliance Training

Online / Self-Paced
Anti-Bribery Training
Certification Management
Conflicts of Interest Training
Content Builder
Customer Service Standards
Customizable Branding
Diversity Training
Federal / State Regulation Compliance
Harassment / Discrimination Training
Progress Tracking
Reporting / Analytics
Role-Specific Versions
Security / Privacy Training
Text / Email Reminders
Workplace Safety

Disclosure Management

Not specified

Diversity Training

Completion Certificates
Customizable Branding
Customizable Training Courses
Online / Self-Paced
Progress Tracking
Real-Life Scenarios
Text / Email Reminders

Environmental

Auditing
Compliance Management
Sustainability Management

GRC

Auditing
Disaster Recovery
Environmental Compliance
IT Risk Management
Incident Management
Internal Controls Management
Operational Risk Management
Policy Management

Integrated Risk Management

Audit Management
Compliance Management
Dashboard
Disaster Recovery
IT Risk Management
Incident Management
Operational Risk Management
Risk Assessment
Safety Management
Vendor Management

Policy Management

Approval Process Control
Attestation
Audit Trails
Policy Library
Policy Metadata Management
Policy Training
Reporting / Analytics
Version Control
Workflow Management

Risk Management

Alerts/Notifications
Auditing
Business Process Control
Compliance Management
Dashboard
IT Risk Management
Internal Controls Management
Operational Risk Management
Predictive Analytics
Reputation Risk Management
Risk Assessment

Sexual Harassment Training

Completion Certificates
Customizable Branding
Federal / State Regulation Compliance
Online / Self-Paced
Progress Tracking
Real-Life Scenarios
Role-Specific Versions
Text / Email Reminders

Whistleblowing

Access Controls / Permissions
Automated Routing
Customizable Branding
Multi-Language Support
Real-Time Chat
Reporting / Analytics
Workflow / Process Automation

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