Broker dealer compliance software that keeps you fast, audit-ready, and in control

Q: How does Process Street help broker-dealers stay compliant?

We turn your supervisory controls and regulatory workflows into automated processes, so nothing gets missed, and every step is logged.

Q: Can I use this for trade review and account approvals?

Yes. You can automate workflows for account onboarding, exception reporting, and trade surveillance with full audit trails.

Q: Is Process Street secure for regulated financial data?

Absolutely. We are SOC 2 Type II and ISO 27001 certified. Your data is encrypted, role-restricted, and audit-ready.

Q: Does this support FINRA, SEC, and 17a-5 workflows?

Yes. Our platform supports workflows mapped to FINRA Rule 3110, SEC Rule 17a-5, AML programs, and more.

Q: Can I manage compliance tasks across reps, branches, and ops?

Yes. You can track compliance by team, region, or function, with permission controls and reporting at every level.

Q: Do I need developers to manage workflows?

No. Process Street is fully no-code, so compliance, operations, or supervisory staff can manage workflows directly.

Process Street helps broker-dealers automate regulatory workflows, enforce FINRA and SEC compliance, and scale operations, without adding overhead or risk.

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Trusted by more than 3000 companies

Compliant collaboration
on a single platform

From new account approvals and trade reviews to supervisory controls and audit prep, Process Street turns your regulatory playbook into structured, automated workflows, tracked, enforced, and built for oversight.

Get audit ready

New account onboarding & approvals

Automate KYC, AML, and account opening documentation with tracked workflows and compliance signoffs.

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Trade supervision & surveillance workflows

Create structured workflows for trade review, exception handling, and supervisory sign-offs.

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Branch exams & audit readiness

Schedule branch reviews, assign evidence collection, and maintain audit-ready records for FINRA, SEC, and internal inspections.

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Advertising & communications review

Standardize advertising and correspondence approvals with task assignments, checklists, and version tracking.

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Meet Cora,
your AI compliance agent

AI-powered compliance, policy, and workflow automation, always up-to-date, always audit-ready.

Creates policies Instantly generate ISO, SOC 2, and HIPAA-compliant policies.
Builds workflows Transform static documents into actionable, trackable workflows.
Monitors regulations Stay ahead of regulatory changes with real-time updates.
Audits automatically Cora flags compliance gaps and keeps your documents aligned.

Compliance isn’t static anymore.

With Cora, your policies, procedures, and workflows stay living, dynamic, and audit-ready automatically.

Discover how Cora works

Regulatory filings & annual certifications

Track 17a-5, Form U4/U5, and other regulatory filings. Assign deadlines, collect documentation, and log completion.

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Regulatory filings & annual certifications

Policy distribution & attestation workflows

Distribute policies (e.g. code of conduct, insider trading), track acknowledgments, and automate annual recertifications.

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Vendor due diligence & risk assessments

Standardize vendor onboarding, assign due diligence tasks, and document risk reviews across providers.

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Employee onboarding & licensing

Automate Series 7/63 tracking, registration steps, and system provisioning workflows with full visibility.

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Frequently asked questions

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

How does Process Street help broker-dealers stay compliant?

Can I use this for trade review and account approvals?

Is Process Street secure for regulated financial data?

Does this support FINRA, SEC, and 17a-5 workflows?

Can I manage compliance tasks across reps, branches, and ops?

Do I need developers to manage workflows?

Unwavering security & compliance focus

Your data's security and privacy are our top priorities. We adhere to the strictest data protection and compliance standards, allowing you to concentrate on delivering unmatched client value.

Data protection & security

ISO27001 compliance

Process Street is ISO 27001 certified, confirming compliance with global standards and a strong commitment to protecting customer data through audited, continuously monitored security controls.

Data protection & security

SOC 2 Type II compliance

Process Street has passed a SOC 2 Type II audit, confirming that it meets various criteria for safeguarding customer data. An independent external auditor has verified the effectiveness of the controls implemented by Process Street.

Healthcare information privacy

HIPAA compliance

HIPAA, a federal law, safeguards patient health information. Process Street's robust security measures include the option for a Business Associate Agreement upon request, ensuring HIPAA compliance.

Data protection & security

AWS CIS compliance

The CIS AWS Foundations Benchmark provides security best practices for AWS environments. Process Street's compliance ensures a secure cloud infrastructure by following established guidelines for configuration and monitoring.

EU Data protection & privacy

GDPR compliance

The General Data Protection Regulation (GDPR) is an EU law designed to protect the privacy of individuals and businesses in the EU economic area. It establishes rules for how personal data is collected and handled. Read our GDPR statement

Data protection & privacy

CCPA compliance

The California Consumer Privacy Act (CCPA) gives California residents more control over their personal data, including rights to access, delete, and opt out of data sales. Process Street ensures compliance through transparent practices.

Security & privacy

Artificial intelligence

Your data is never used to train AI models. Any data read or created by a workflow is exclusive to that particular workflow instance and cannot be accessed otherwise, even from within the same organization.

Data sovereignty & infrastructure

Data residency & private cloud

Choose where your data is stored with support for US, UK, Canada, EU, and UAE regions. Customers can also opt for private cloud deployment in their own VPC for maximum control and security.

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