Compliance Software SEC Compliance Software For Investment Advisers

SEC Compliance

Run SEC compliance workflows with proof

Q: What is SEC compliance software for investment advisers?

It helps advisory firms manage SEC-related compliance tasks such as written policies, annual reviews, marketing review, record support, supervision, evidence collection, exceptions, and exam preparation.

Q: Does Process Street replace RIA-specific compliance tools?

Not usually. Keep specialist tools for archiving, filings, portfolio monitoring, surveillance, or regulatory content. Use Process Street to run the recurring human workflows those tools do not enforce.

Q: When should an investment adviser use Process Street?

Use it when compliance work depends on people completing steps, attaching evidence, approving materials, documenting exceptions, and following a current procedure every cycle.

Q: How does Process Street help with SEC exams?

It keeps a clear workflow history showing owners, dates, evidence, approvals, exceptions, and remediation activity, so exam prep starts from organized records instead of reconstruction.

SEC compliance software for investment advisers helps SEC-registered advisory firms turn written policies, annual reviews, marketing approvals, books and records tasks, and exam prep into assigned work. Process Street gives CCOs a governed workflow layer for recurring SEC obligations without replacing archiving, portfolio monitoring, or specialist RegTech tools.

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Compliance officer reviewing labeled SEC compliance workflow tiles.

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SEC Compliance Execution

Run SEC compliance work before exam pressure starts

SEC rules expect advisers to maintain policies, test them, keep required records, review marketing, supervise personnel, and document annual program reviews. The hard part is execution. Tasks drift when evidence lives in inboxes, approvals happen offline, and remediation is tracked in spreadsheets. Use Process Street to assign owners, set recurring schedules, require evidence, route approvals, and preserve the history behind each compliance step. It is strongest when your firm needs repeatable proof that people completed the work around SEC requirements, while other systems keep communications archives, portfolio data, filings, or surveillance records. That lets the CCO treat compliance as live operations rather than a quarterly scramble.

Where Process Street fits in SEC compliance operations

Ops

Run annual reviews, marketing approvals, attestations, access reviews, evidence requests, and remediation workflows with owners, due dates, required fields, approvals, reminders, and timestamps.

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Docs

Keep compliance procedures, review standards, supervisory instructions, and policy updates governed beside the workflows that execute them.

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SEC compliance workflows to control first

Annual review workflows

Assign review areas, collect evidence, record findings, route approvals, and preserve completion history for Rule 206(4)-7 support.

Marketing review

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

Books and records support

Collect workflow evidence, approvals, notes, files, and timestamps around tasks that support the firm record.

Exception remediation

Turn failed checks, late evidence, rejected materials, or missing attestations into owned follow-up work.

Policy update execution

Route procedure changes through drafting, review, approval, publication, and employee acknowledgment so teams work from current SEC-facing standards.

Exam prep packet

Build a clean package of completed workflows, evidence, approvals, exceptions, and remediation notes for counsel, consultants, or exam response.

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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

Linda White

Head of Technology Services, Colliers

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“A huge win. Delivers cross
functional team collaboration.”

Alex Hauer

Senior Success Consultant, Salesforce

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"It was the right choice for us. It helped our team move quicker"

Chelsea Lynch

Manager of CS operations, Bentobox

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Frequently asked questions

Can't find the answer you need? Contact our support team.

What is SEC compliance software for investment advisers?

Does Process Street replace RIA-specific compliance tools?

When should an investment adviser use Process Street?

How does Process Street help with SEC exams?

Run SEC compliance workflows with proof

See how Process Street helps advisory firms turn recurring compliance tasks into owned workflows with evidence, approvals, remediation, and audit-ready history.

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