Wealth Management Compliance Software

Q: What is wealth management compliance software?

It coordinates the recurring supervisory work of an advisory firm: reviews, attestations, disclosures, approvals, and exception follow-up. Each item carries an owner, a deadline, and a record of what was decided.

Q: Does it replace an archiving or surveillance tool?

No. Keep email archiving, trade surveillance, and portfolio accounting where they are. Process Street governs the human review, approval, and remediation work around those systems.

Q: How does it help during an examination?

Examiners ask whether a control existed and whether it ran. Completed workflows show the procedure, the reviewer, the date, and the attached evidence for the period requested.

Q: Does it work for a multi-office firm?

Yes. Assign the same procedure by office, advisor, or client segment, so supervision stays consistent as the firm adds locations and staff.

Wealth management compliance software gives advisory firms one governed system for supervisory reviews, personal trading pre-clearance, gifts and outside business disclosures, marketing approvals, and periodic account reviews, with a named owner and a dated record behind every control.

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A compliance officer walking through a labeled pre-clearance gate past gifts, outside business and quarterly review panels.

Trusted by more than 3000 companies

BUYER GUIDE

Supervise a growing advisor base without adding reviewers

Wealth firms rarely have a problem because a rule was unknown. They have a problem because a quarterly review slipped, a disclosure was never collected, or the person tracking it left. Process Street runs those obligations as scheduled workflows across offices and advisor teams, with conditional paths by registration type, client segment, and account size. Pre-clearance requests route to the right reviewer, escalate when they age, and close with the decision on record. Choose this if your supervisory calendar lives in a spreadsheet and your evidence lives in inboxes. Firms comparing the wider category can start at https://www.process.st/hub/compliance-software/, and SEC-registered advisers can go deeper at https://www.process.st/hub/compliance-software/investment-adviser-compliance-software/.

Where Process Street fits a wealth management firm

Ops

Schedule supervisory reviews, personal trading pre-clearance, gifts and entertainment logging, outside business attestations, and fee billing checks with owners, due dates, and escalation paths.

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Docs

Keep the compliance manual, supervisory procedures, and disclosure templates versioned, so advisors and reviewers act on current policy instead of a saved copy.

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What to compare in wealth management compliance software

Supervisory review cycles

Run recurring advisor and branch reviews on a fixed calendar, with sampling rules and sign-off by the responsible supervisor.

Pre-clearance routing

Send personal trading, gifts, and outside business requests to the right reviewer and escalate anything left open.

Marketing and testimonial review

Approve advisor communications, performance claims, and endorsements before use, keeping the reviewed version attached.

Periodic account reviews

Trigger suitability refreshes, risk profile updates, and household reviews by segment rather than by memory.

Exam-ready evidence

Hold timestamps, approvers, exceptions, and attachments so a request produces records instead of a search.

Systems that stay in place

Work alongside your CRM, portfolio accounting, and archiving tools rather than replacing the systems of record.

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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