Compliance Software Investment Adviser Compliance Software

RIA Compliance

Investment Adviser Compliance Software

Q: What is investment adviser compliance software?

It helps registered investment adviser teams manage recurring compliance work such as annual reviews, attestations, marketing review, vendor oversight, evidence collection, exceptions, remediation, and audit trails.

Q: Does Process Street replace RIA-specific RegTech?

Not always. Surveillance, archiving, trade monitoring, or regulatory intelligence tools may still be needed. Process Street is strongest as the workflow execution layer that assigns work, collects proof, and preserves history.

Q: When should an advisory firm use Process Street?

Use it when compliance work depends on people completing recurring steps, attaching evidence, routing approvals, documenting exceptions, and following up across compliance, operations, advisors, vendors, or leadership.

Q: Which RIA workflows can Process Street run?

Teams can run annual review evidence, marketing approval, employee attestations, vendor due diligence, client complaint handling, access reviews, policy updates, exception remediation, disclosure updates, and examination prep workflows.

Q: How does Process Street support annual reviews?

Create a recurring annual review workflow with required evidence, assigned owners, reviewer approvals, exception notes, remediation tasks, and a final record showing how the firm evaluated its compliance program.

Q: Can a compliance team manage this without IT?

Yes. Compliance and operations teams can build, update, and schedule workflows with approvals, required fields, conditional logic, reminders, forms, and integrations without engineering support or custom development.

Run reviews, attestations, marketing approvals, evidence requests, and exception follow-up as governed workflows your advisory team can prove.

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A compliance officer reviews labeled RIA compliance workflow cards.

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Compliance Execution

Turn RIA obligations into assigned work

Investment advisers need more than a compliance calendar or document vault. Process Street gives each annual review task, Code of Ethics attestation, marketing review, vendor check, and evidence request an owner, due date, approval path, and audit history. Use it when your firm needs proof that work happened, not another place to store policy PDFs. It keeps the operating record close to the procedure, so a CCO can see what is late, what was approved, and what still needs remediation before an exam notice arrives.

Where Process Street fits

Ops

Run recurring RIA compliance workflows with assignments, forms, due dates, approvals, reminders, conditional logic, and required evidence capture across teams.

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Docs

Keep procedures, review standards, and supervisory instructions governed beside the workflow so teams execute from the current approved process every cycle.

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Cora

Use built-in AI oversight to flag overdue reviews, missing evidence, skipped approvals, stale procedures, and recurring process gaps before they compound.

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RIA workflows to control first

Annual review

Assign review tasks, collect evidence, record findings, and preserve the completion record for Rule 206(4)-7 support.

Marketing review

Route advertisements, testimonials, endorsements, and performance claims through approvals before release.

Employee attestations

Collect Code of Ethics, outside business activity, gifts, political contribution, and policy acknowledgments on schedule.

Evidence requests

Capture files, notes, timestamps, owners, approvals, and remediation history in the workflow.

Exception follow-up

Escalate late, rejected, incomplete, or blocked compliance work before audit prep becomes reconstruction.

Audit history

Show who completed each step, what changed, what was approved, and what evidence supports the decision.

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With Process Street we've been able to bring documentation to life… allowing us to adapt processes quickly, improve governance and achieve consistent results