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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 Skillcast?

When the cost of getting compliance wrong can include fines, regulatory action, legal liability, and reputational harm, completion rates alone aren't enough. Compliance, HR, and L&D leaders need evidence that their programmes are changing behaviour and reducing risk, yet many organisations still rely on outdated tick-box training or inadequately governed AI-generated content. That's why more than 1,500 organisations trust Skillcast. For over 25 years, we've combined compliance expertise, AI-powered technology, and rigorous human oversight to help organisations: - Centralise compliance learning, policies, disclosures, and registers. - Increase engagement through personalised learning pathways. - Strengthen governance with policy attestations and disclosure management. - Maintain audit-ready records and compliance reporting. - Provide instant AI-powered guidance grounded in trusted business content. - Seamlessly edit our expert courses using AI without sacrificing oversight. - Deploy solutions that are off-the-shelf, configurable, or fully bespoke. The result is reduced risk, stronger compliance cultures, improved employee decision-making, and confidence that your organisation is meeting its regulatory obligations with a partner that understands what's at stake.

Media

Media

Integrations Supported

Integrations Supported

Access PeopleHR
Azure-AD-External-Identities
Bamboo
Cornerstone HR
Degreed
Harvard ManageMentor
HiBob
Kallidus Learn
Okta
OneLogin
Skillsoft
Slack
Workday Financial Management
iMIS

API Availability

API Availability

Has API

Pricing Information

Pricing not provided

Pricing Information

£32 per user annually.
Skillcast offers three subscription plans:

Standard Plan: From £32 per user annually.

Enhanced Plan: From £39 per user annually.

Premium Plan: From £72 per user annually
Free Trial Offered?

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support

Customer Service / Support

Standard Support
Web-Based Support

Training Options

Documentation Hub
Online Training

Training Options

Documentation Hub
Webinars

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Company Facts

Organization Name

Skillcast

Date Founded

2001

Company Location

United Kingdom

Company Website

www.skillcast.com

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Environmental Compliance
Risk Management
Surveys & Feedback

Compliance Training

Multiple Locations / Departments
Online / Self-Paced
Anti-Bribery Training
Certification Management
Conflicts of Interest Training
Customizable Branding
Diversity Training
Federal / State Regulation Compliance
Gamification
Harassment / Discrimination Training
Industry-Specific Courses
Interactive Quizzes
Progress Tracking
Reporting / Analytics
Role-Specific Versions
Security / Privacy Training
Text / Email Reminders
Workplace Safety

Course Authoring

Content Import / Export
Course Publishing
Gamification
Interactive Content
Self-Paced Courses
Test / Quiz Creation
Video Management

eLearning Authoring Tools

Content Import / Export
Course Publishing
Gamification
Interactive Content
PowerPoint Conversion
Self-Paced Courses
Template Management
Test / Quiz Creation
Video Management

eLearning Content

Not specified

GDPR Compliance

Consent Management
Policy Management
Risk Management
Sensitive Data Identification

Learning Management Systems (LMS)

Corporate / Business
Customizable
Gamification
Learner Portal
Mobile Learning
SCORM Compliance
eLearning Companies

RegTech

Not specified

Safety Training

Not specified

Training

Asynchronous Learning
Built-In Course Authoring
Built-in LMS
Certification Management
Learner Portal

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