Wealth management compliance software that scales service and proves execution

Q: How does Process Street help wealth management firms stay compliant?

We turn your firm's regulatory requirements into structured workflows, so every task is enforced, every process logged, and every audit simplified.

Q: Can I use this for onboarding, trade reviews, and compliance tasks?

Yes. You can manage all of your operational and compliance workflows from a single, centralized platform.

Q: Is Process Street secure for sensitive client and regulatory data?

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

Q: Does this support SEC and state-level compliance workflows?

Yes. You can map workflows to Form ADV, AML programs, cybersecurity policies, and more, tracking everything with evidence logs.

Q: Can I manage workflows across advisors, offices, or teams?

Yes. Workflows are role- and permission-based, so you can customize and report on activity across your entire organization.

Q: Is this easy for operations and compliance teams to manage?

Yes. Process Street is 100% no-code, so your team can build, update, and run workflows without IT support.

Process Street helps RIAs, family offices, and wealth management firms automate compliance workflows, enforce internal controls, and maintain audit-ready operations, without sacrificing client experience.

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Trusted by more than 3000 companies

Compliant collaboration on a single platform

From account onboarding and trade reviews to billing and annual certifications, Process Street turns recurring regulatory tasks into trackable, enforceable workflows, so every step is followed and every process is provable.

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Client onboarding & KYC workflows

Automate intake, document collection, custodian setup, and compliance approvals for a seamless and secure onboarding experience.

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Trade supervision & post-trade reviews

Standardize supervisory workflows to ensure compliance with investment guidelines, restrictions, and trading procedures.

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Form ADV, AML, & annual review workflows

Assign recurring regulatory tasks, collect evidence, and generate audit-ready records for SEC or state audits.

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Form ADV, AML, & annual review workflows

Fee billing & disclosure compliance

Automate billing workflows, route for review, and log approvals, reducing error risk and increasing consistency.

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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

Policy distribution & annual certifications

Distribute policies, track employee acknowledgment, and automate annual certifications and re-attestations.

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Policy distribution & annual certifications

Vendor oversight & due diligence

Manage vendor onboarding, conduct periodic risk reviews, and document all due diligence activities.

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Internal audit & compliance calendar execution

Build repeatable workflows for internal controls, testing schedules, and calendar-driven compliance tasks.

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Internal audit & compliance calendar execution

Employee onboarding & licensing

Standardize advisor onboarding, assign training, and track licensing and registration tasks by role and state.

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Frequently asked questions

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

How does Process Street help wealth management firms stay compliant?

Can I use this for onboarding, trade reviews, and compliance tasks?

Is Process Street secure for sensitive client and regulatory data?

Does this support SEC and state-level compliance workflows?

Can I manage workflows across advisors, offices, or teams?

Is this easy for operations and compliance teams to manage?

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