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RIAs
Automated Compliance Monitoring and Reporting
Complexity
High
Timeline
10-14 weeks
Outcomes
4+
Challenge
Manual SEC and FINRA compliance monitoring with spreadsheets and email tracking failing to scale and creating regulatory risk for growing RIAs.
Solution
Implement automated compliance workflows in Salesforce FSC with integrated archiving, supervision, exception tracking, and automated ADV updates.
Key Outcomes
- 100% automated compliance monitoring
- Real-time exception identification and tracking
- Automated Form ADV preparation
- Complete audit trail and documentation
Tags
compliancesec-finrariasautomationregulatory
Implementation Timeline
10-14 weeks
High Complexity