RIA Compliance Automation Software With SEC Deadline Tracking Announced

RIA Compliance Technology is debuting a proprietary software designed specifically for RIA compliance. The company is committed to making compliance simpler, more structured, and more organized for small to large RIA firms by streamlining data collection, submission, archiving, and other critical processes.

More details can be found at https://riacomptech.com/

Regulations within the financial sector are always evolving. The Securities and Exchange Commission regularly updates its guidelines for RIAs on issues such as safeguarding client assets and imposes significant penalties and fines if standards are not met. In addition to financial consequences, firms also suffer reputational damage.

RIA Compliance Technology’s software helps users stay on top of these ongoing changes and updates, helping them avoid missed deadlines, hefty fines, and penalties with built-in calendar alerts and reminders. The platform removes the stress of tracking rule changes and deadlines, allowing RIAs to focus on their core competencies.

Primarily, the system automates tasks to replace previously labor-intensive manual processes, saving time and resources while improving accuracy. “Data entry mistakes, misinterpretation of regulations, and oversight of critical compliance requirements—all prone to human error—can lead to costly consequences,” co-founder Blake Bjordahl said.

The compliance software helps RIA firms address common pain points, such as fragmented systems and tools that make gathering data, reporting, and approvals more complex and time-consuming.

RIA Compliance Technology’s portal also provides centralized documentation for enhanced traceability of records, while real-time data improves the accuracy and relevance of monitoring and reporting. This visibility extends to task oversight and management as well.

While some RIA firms are put off by the initial costs of investing in new compliance technology, the company highlights the long-term benefits of embracing the latest digital solutions.

“While there is an initial cost associated with implementing compliance technology, the long-term savings from increased efficiency, reduced errors, and avoidance of compliance fines can be substantial,” Mr. Bjordahl adds.

Interested parties can schedule a one-on-one demo of the software with a member of the RIA Compliance Tech team to see firsthand how it could benefit their operations.

For more information, call 480-999-2353 or visit https://riacomptech.com/

RIA Compliance Technology

10031 E Dynamite Blvd Suite 240
Scottsdale
AZ
85262
United States