Advisor Compliance Task Management Software

Q: What is advisor compliance task management software?

It organizes recurring compliance work for financial advisors and RIA teams. Each review, attestation, disclosure, approval, evidence request, or remediation item receives an owner, deadline, status, and completion record.

Q: Does Process Street replace RIA compliance software?

Not every component. Keep specialized communications archiving, trade surveillance, regulatory intelligence, and portfolio systems where needed. Process Street runs the assigned reviews, approvals, evidence collection, follow-up, and remediation around those systems.

Q: Which advisor compliance tasks can be automated?

Teams can schedule annual review evidence, Form ADV updates, Code of Ethics attestations, personal-trading pre-clearance, outside-business disclosures, gifts and entertainment review, marketing approval, vendor checks, complaint handling, and exam preparation.

Q: How does it help a multi-advisor firm?

Standard procedures can launch by advisor, office, registration type, or event. Conditional paths send each task to the right owner while compliance leaders track overdue work and exceptions across the firm.

Q: What should a CCO compare before choosing a task platform?

Check whether the platform supports recurring schedules, conditional assignments, required evidence, reviewer approvals, overdue escalation, procedure versioning, and exportable history. Confirm that advisors can complete work without learning a complex project-management system and that compliance can see open exceptions without rebuilding a spreadsheet.

Turn annual reviews, attestations, marketing approvals, disclosures, and evidence requests into assigned work with deadlines, escalation, and a dated record of every decision.

Get started Contact sales

An advisor compliance officer climbs steps labeled Assign, Review, Approve, and Evidence toward Complete.

Trusted by more than 3000 companies

OPERATIONAL CONTROL

Stop rebuilding the compliance record at exam time

A missed annual-review step, late attestation, or approval buried in email can leave the CCO proving work after the fact. Process Street schedules each recurring obligation, assigns the responsible advisor or reviewer, requires supporting evidence, and escalates overdue items before they become examination gaps. Atlas Fiduciary Financial cut task errors from about 20% to 2 to 3% after moving wealth-management workflows into Process Street. The platform complements archiving, surveillance, CRM, and portfolio systems by governing the human tasks around them.

Where Process Street fits advisor compliance

Ops

Run annual reviews, Form ADV updates, Code of Ethics attestations, personal-trading requests, marketing reviews, and outside-business disclosures on recurring schedules. Assign owners, set due dates, route approvals, and keep the completion history attached to each run.

Learn more about Ops

Docs

Keep the approved procedure, required evidence, review criteria, and escalation path beside the work. When policy changes, teams launch the current process instead of copying an old checklist or relying on an advisor's memory.

Learn more about Docs

What to compare in advisor compliance task software

Recurring obligations

Launch monthly, quarterly, annual, and event-driven reviews automatically, with the correct procedure and deadline.

Named ownership

Assign each advisor, supervisor, operations lead, or compliance reviewer the exact step they must complete.

Approval routing

Route marketing, gifts, outside activities, personal trading, and exceptions to the right approver by rule.

Required evidence

Make files, notes, attestations, and decision records mandatory before a task can close.

Escalation

Remind owners, surface late tasks, and send unresolved exceptions to the accountable supervisor.

Exam history

Show the procedure used, who acted, when it happened, what was approved, and which evidence supports it.

Get started Contact sales

Related solutions

Backed by happy clients

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