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Wealth Management
RIA Regulatory Compliance Automation
Complexity
High
Timeline
8-12 weeks
Outcomes
4+
Challenge
Manual compliance processes for SEC Rule 206(4)-7 annual review and Form ADV updates consuming 200+ hours annually.
Solution
Automated compliance workflows in Salesforce FSC with integrated Smarsh archiving, ComplySci tracking, and automated task management.
Key Outcomes
- 85% reduction in compliance admin time
- 100% audit readiness
- Automated Form ADV updates
- Real-time compliance dashboard
Tags
ComplianceAutomationWealth ManagementSEC
Implementation Timeline
8-12 weeks
High Complexity