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What is SmartOffice?

SmartOffice is a cloud-based CRM and AMS tailored for financial professionals like advisors, agents, BGAs, RIAs, and broker-dealers, offering a comprehensive suite of tools for managing client relationships, workflows, data, and regulatory compliance. Its core features include contact management, investment and policy tracking, and efficient time and calendar management, alongside opportunity tracking and sophisticated reporting options. With a strong emphasis on cybersecurity and compliance, SmartOffice protects client data while ensuring smooth integration with Office 365 applications (Outlook, Excel, Word) and a variety of sales, financial planning, insurance, and marketing systems. The platform provides vital functionalities such as centralized client histories, collaboration among staff, safe remote access to data, and the organized management of agency operations through its agency management system. It is especially advantageous for established firms looking to enhance their operational visibility and streamline tools, thereby improving their opportunity pipelines, reporting mechanisms, and overall workflow efficiency. Furthermore, SmartOffice’s robust features make it an ideal choice for financial professionals dedicated to maximizing their productivity and effectiveness in a competitive market.

What is COMPLY?

COMPLY delivers a unified compliance management ecosystem tailored to the complexities of the financial services industry. It streamlines every stage of the compliance lifecycle—policy management, regulatory filings, monitoring, reporting, and audits—within a single platform. Firms benefit from an integrated environment where technology meets hands-on expertise, helping them proactively address regulatory changes and operational risks. The system’s automation capabilities reduce manual work by handling repetitive tasks such as data gathering, deadline tracking, and code of ethics administration. Customizable modules allow firms to configure workflows and reporting structures to meet their unique operational and jurisdictional needs. Managed services extend in-house capacity, enabling firms to offload routine processes to seasoned compliance professionals. Educational programs and certification courses keep teams current on compliance best practices and industry trends. Designed for scalability, COMPLY supports organizations ranging from emerging RIAs to multinational investment banks. Its cloud-based infrastructure provides secure, role-based access from anywhere, ensuring compliance continuity in all circumstances. By integrating technology, services, and thought leadership, COMPLY empowers financial institutions to operate with confidence, efficiency, and full regulatory alignment.

Media

Media

Integrations Supported

AdvisoryWorld
BizClip
Broadridge 15(c) Board Reporting
Charles Schwab
Constant Contact
Docupace
Microsoft 365
Microsoft Excel
Microsoft Outlook
Microsoft Word
MoneyGuide
NaviPlan
Paperclip
PreciseFP
Riskalyze
TD Ameritrade
Zocks
Zoom
eMoney
etfile

Integrations Supported

AdvisoryWorld
BizClip
Broadridge 15(c) Board Reporting
Charles Schwab
Constant Contact
Docupace
Microsoft 365
Microsoft Excel
Microsoft Outlook
Microsoft Word
MoneyGuide
NaviPlan
Paperclip
PreciseFP
Riskalyze
TD Ameritrade
Zocks
Zoom
eMoney
etfile

API Availability

Has API

API Availability

Has API

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Company Facts

Organization Name

Zinnia

Date Founded

2005

Company Location

United States

Company Website

www.smartofficecrm.com

Company Facts

Organization Name

COMPLY

Company Location

United States

Company Website

www.comply.com

Categories and Features

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

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