Alternatives to SmartRIA
Compare SmartRIA alternatives for your business or organization using the curated list below. SourceForge ranks the best alternatives to SmartRIA in 2026. Compare features, ratings, user reviews, pricing, and more from SmartRIA competitors and alternatives in order to make an informed decision for your business.
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1
enVisual360
enSynergy Professional Services
enVisual360 is the first module-based wealth management software suite that can be licensed by module, meaning you only license what you need, when you need it. enVisual is scalable with solutions priced to suit small/startup firms and larger global firms. Our aim is to provide ROI and productivity immediately. Build your own system! Designed for wealth management firms, fit for purpose. Unlike many products on the market, enVisual360 does not require costly customisation to implement. enVisual is purpose-built by wealth professionals for wealth professionals and delivers productivity and reduced client administration costs, particularly those in relation to ever-increasing compliance obligations. enVisual360 delivers a range of fully integrated core modules that are; scalable, affordable, simple and fast to implement.Starting Price: £40/month/user -
2
Smart RIA
Smart RIA
Our advanced compliance software solutions serve both complex compliance organizations and small RIA compliance teams. The SmartRIA platform is designed to address the needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth and asset managers, and the staff who support them. SmartRIA helps firms like yours thrive. SmartRIA compliance solutions were designed and developed to address the needs of compliance consultants, compliance officers, operations teams, investment advisors, wealth and asset managers, and the staff who support them. Imagine starting your week with a bird’s eye view of your entire firm’s compliance calendar on a simple-to-use dashboard that can be learned in a day with technology that actually improves your processes. -
3
WealthERP
Ampsys Consulting Pvt Ltd.
WealthERP is a comprehensive wealth management platform designed for financial advisors, investment firms, and institutions to efficiently manage multi-asset portfolios. It offers seamless portfolio tracking, financial planning, and investment analysis, helping professionals make data-driven decisions. With intuitive dashboards, client management tools, and reporting capabilities, WealthERP simplifies wealth management, enhances efficiency, and ensures compliance with financial regulations. -
4
COMPLY
COMPLY
COMPLY is a modern compliance management platform built specifically for financial services firms. It centralizes regulatory requirements, automates manual workflows, and helps firms stay ahead of evolving regulations. By uniting data, solutions, services, and education, COMPLY empowers compliance teams to scale operations efficiently while reducing regulatory risk. The platform supports a range of functions—from regulatory filings and policy reviews to managed services—acting as an extension of your team. Designed for private funds, broker-dealers, wealth managers, investment banks, and more, COMPLY ensures firms operate in the best interest of investors and clients. With its easy-to-use interface and expert support, COMPLY delivers confidence, clarity, and control over compliance programs. -
5
BitAML
BitAML
BitAML is an advisory firm that offers AML compliance services specifically to cryptocurrency financial institutions facing these challenges. We are comprised of experienced and capable AML compliance experts with a thorough understanding of regulatory nuance at every level of government. While there are many firms in the financial compliance space, BitAML is unique in that it specializes in developing holistic, customized AML compliance regimes specifically for cryptocurrency concerns. We are thorough and leave no regulatory stone unturned. We offer a suite of products and services designed to make it easier for business owners to implement and update AML compliance policies, procedures, and protocols efficiently and accurately as they grow. We serve businesses including bitcoin ATM/kiosk operators, crypto exchanges, individual traders, trading platforms, hedge funds, crypto-cannabis, and others. -
6
SIMON
SIMON Markets
Experience structured investment, annuity, and target return ETF solutions—with a suite of analytical tools—so advisors can stay focused on their clients. From short-form educational videos to PDFs, our multimedia educational resources are available to share valuable product knowledge with clients when they need it most. Comprehensive asset-class education, from introductory basics to product-specifics, delivers on-demand, engaging education for all advisor experience levels. Custom compliance tracking and supervisory tools guide advisors through self-paced certification requirements and give home offices real-time oversight. Automate and integrate to deliver products—and product education—seamlessly to wealth management firms and financial professionals, in real time. Build efficiencies with streamlined education, operational and compliance oversight, and direct connectivity to a centralized product repository. -
7
RegEd
RegEd
The industry’s most comprehensive compliance management platform, trusted by more than 80% of top financial services firms. The only unified solution to manage the full lifecycle of agent and advisor onboarding and compliance, delivering a seamless user experience and “clear to sell” signal for your distribution partners. Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more. Everything you need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes, including managing impact on your firm’s policies and procedures. The leading provider of Compliance Education, Product Training and Annual Compliance Programs, RegEd delivers more than one million CE courses and insurance certificates each year. -
8
NRS ComplianceGuardian
National Regulatory Services
If you’re regulated by the SEC and or FINRA, compliance keeps your doors open while the burden of being in compliance drags at the bottom line. ComplianceGuardian™ combines best-in-class compliance software, latest expert content, education and consulting to efficiently keep your firm in compliance today and as regulations change. The robust ComplianceGuardian™ software platform was developed under the guidance of, and is continually maintained by, our deeply experienced compliance professionals. With direct experience in the private sector and regulatory bodies they bridge the divide between your business needs and regulatory requirements and help firms like yours remain in compliance while minimizing undue burden on business processes. These same experts are available to support you, so you never have to work completely on your own, unnless you want to. Firms of all sizes choose ComplianceGuardian™ to cover their compliance fundamentals. -
9
Renaissance
Quest CE
Renaissance is our all-in-one compliance management system (CMS) that helps simplify the process of assigning important compliance tasks to your broker-dealers and/or investment advisors. The Renaissance system’s main dashboard features an icon-driven menu structure that guides users to their most time-sensitive compliance tasks. Our dynamic reporting dashboard makes it easy to align your compliance program objectives with your overall risk management strategies. User access rights can be mirrored after your firm’s internal hierarchy to ensure the right people have access to the right information. Create, manage and execute targeted emails based on the status of your user’s activity. Emails can be scheduled to go out daily, weekly or monthly. Our system is completely mobile compatible, allowing your users to access it from any internet-accessible laptop, tablet or smartphone. -
10
Red Oak Software
Red Oak Compliance Solutions
Red Oak Software, formally AdMaster Compliance™, is a comprehensive suite of SEC 17A-4 compliant features, tailored to meet the evolving needs of financial firms, small and large. Our workflow software allows your firm to minimize risk, reduce costs, and increase efficiencies in your compliance review process. Building and executing an effective compliance program is tedious and requires specialized knowledge. Our secure, cloud-based technology is the result of years of collaboration between compliance professionals and technology architects, created to manage the entire compliance review process from start to finish. We understand that Compliance does not operate in a vacuum. Red Oak Software is tailored to meet the evolving needs of financial firms, small and large. Work seamlessly with your firm’s internal departments and the external entities you must engage to be fully compliant. -
11
Greenboard
Greenboard
Greenboard is a cloud-based, AI-powered platform that acts as a unified operating system for regulatory compliance under the SEC and FINRA for financial firms. It consolidates what are often multiple fragmented tools into a single dashboard that handles archiving and communications supervision, firm- and employee-level compliance workflows, third-party/vendor compliance, marketing content reviews, trade-testing, and books/records management, and full audit-ready recordkeeping. Leveraging its built-in “Greenboard Go” AI engine, which connects to all firm data, it automatically scans for risks, flags compliance issues, and helps enforce consistent internal policies. Its interface and architecture are designed with usability and security in mind, featuring role-based permissions, enterprise-grade data infrastructure, and SOC2-Type 2 compliance to ensure data privacy and regulatory defensibility. -
12
Rizkly
Rizkly
Cybersecurity and data privacy compliance is now a continuous process and there’s no turning back. Rizkly is the answer to firms that must meet these growing requirements in an efficient and effective manner to keep growing the business. Rizkly keeps you on top of compliance with a smart platform and expert guidance. Our platform and experts guide and help you achieve timely compliance with EU privacy laws. Protect healthcare data and switch to a faster, more affordable path to privacy protection and cyber hygiene. Get a prioritized PCI compliance action plan and the option to have an expert keep your project on track. Gain from our 20+ years of SOC audit and assessment experience. Move faster with a smart compliance platform. Rizkly is your OSCAL compliance automation platform. Import your existing FedRAMP SSP and say bye to editing Word SSP fatigue. Rizkly is the efficient path to achieving FedRAMP authorization and continuous monitoring. -
13
Practice Manager
Legal Interact
Practice Manager is an intuitive, cloud-based practice management solution designed for small and mid-sized law firms that helps legal professionals manage matters, documents, tasks, time tracking, billing, and compliance in one unified platform. It replaces manual processes and basic tools with an integrated system that brings matter and document management together with secure cloud access, auto-generated invoices and statements, task assignments, calendars, and time tracking and billing functions. Practice Manager is built to simplify law firm operations, giving firms greater control over their work, visibility into performance, and confidence in compliance with regulations such as POPIA and FICA. Practice Manager’s secure cloud hosting allows access from anywhere, and its interface is easy to learn for legal teams, with local support available.Starting Price: RZAR1200/per user/per month -
14
Intapp Employee Compliance
Intapp
Intapp Employee Compliance makes it easier for your firm to monitor employees’ financial interests and outside activities, adhere to internal code of ethics policies, and track required documentation. Help your professionals follow firm and regulatory requirements and make it simpler for your compliance team to review and manage everyone’s activities. Give employees the tools they need to easily comply with firm policies. Verify information with normalized data and flagged discrepancies. Automatically notify employees when actions are required and track progress. Support timely action and approvals with workflows and notifications. Provide comprehensive histories for firm management and regulators. Create a hub for staff to track and receive approval for regulated activity. Combine employee compliance with your existing HR and trading systems. Provide role-based, centralized data views and dynamic reporting tools. -
15
Altitude CRM
Altitude CRM
Altitude CRM is an AI-native platform built for financial advisors to manage clients, marketing, and growth in one place. It combines CRM, marketing automation, and practice management into a single intelligent system. Advisors can track every client interaction, automate follow-ups, and manage pipelines with Pathfinder AI. The platform includes contact management, opportunity tracking, workflows, calendar and email integration, reporting, and compliance tools. Altitude helps firms standardize service, improve efficiency, and uncover growth opportunities hidden in their data. With secure document storage, built-in analytics, and smart automation, Altitude transforms how advisors organize their work, serve clients, and scale their business.Starting Price: $79/user/month -
16
CAS 360
BGL Corporate Solutions
Company compliance software, empowering professionals to automate workflows and efficiently manage company compliance. Quickly and easily customize documents (in Word) and email templates (in plain text, rich text or HTML) with your firm’s logo and unique branding style. World-Class Integration CAS 360 integrates with industry leading practice management, company document and e-signature providers to ensure you have a seamless and efficient experience. Easily upload, lodge and edit documents or view a documents history. Quickly filter all documents for all companies from a global document screen in CAS 360. Automated Smart Annual Review alerts and filters to help manage received, upcoming and missed annual reviews. Automated production of a full set of compliant documents for every change made to your corporate registers. Ability to automatically compare your company data with ASIC’s company data.Starting Price: $13 per year -
17
Strunk
Strunk
We offer great tools to automate and streamline compliance and risk management for banks, credit unions, financial advisors, broker-dealers, collection agencies, etc. If you provide online services, your clients are likely to want a SOC2 review or the like, and even if they don’t, your team/board will sleep better knowing you have a well-organized, well-documented compliance program in place. Our tools can help healthcare firms assess existing compliance with HIPAA requirements, manage policies to ensure compliance, and periodically test for adherence. Our family of risk assessment tools automates the complex task of documenting your organization’s current risk profile against relevant risk frameworks like SOC2, HIPAA, or regulatory requirements. In addition to our consulting services, our hosted ODP software is packed with even more features than ever to ensure the success of your program. -
18
Avii Workspace
Avii
A single accounting management system for document management, workflows, and client experiences. The most interconnected accounting practice management platform for tax, audit, advisory, management consulting and compliance. Avii includes an integrated suite of applications to enhance your firm’s automation and improve your clients’ experience. Regardless of your size, processes and goals, you can select the entire suite or only the solutions you need today. Provides secure document exchange within your team. Extends collaboration and document and task management to your clients. Customizes the information flow to people and teams. Surfaces key information that helps you drive your firm’s success. Avii Intelligence that powers the entire platform, bringing your entire experience into one place. Use Avii to improve the way you leverage technology to gain better results with your clients.Starting Price: $20 per feature -
19
Obsidian SmartDocs
Obsidian Suite
Pre-populate smart web forms with data and quickly generate NDAs, term sheets, subscriptions, KYC documents, and more. Direct integration into Obsidian Suite’s advanced client management database to track all client compliance info. Save time with our simple electronic sign-off, offered via enhanced DocuSign integration. Utilize up-to-date document status tracking and full client interaction tracking via CRM auto-feed. Obsidian’s interactive client portals cover any type of client including institutional, high-net-worth, professional firms etc. This suite offers unparalleled flexibility in client communication to suit all investment management firms. Obsidian SmartDocs is an industry-leading solution for electronic subscriptions and KYC docs for investment firms. By automating, streamlining and managing investor data flows across systems, SmartDocs helps investment firms grow faster. -
20
FutureVault
FutureVault
FutureVault is an industry-leader in secure document exchange and Digital Vault solutions for financial services and wealth management organizations, changing the paradigm of document and information management with the Personal Life Management Vault™ and Business Life Management Vault™. FutureVault’s multi-tiered platform is transforming enterprise, advisor, and client value propositions by significantly improving the way documents, data, and information are managed within a secure, audit-ready, single source of truth. By powering firms with FutureVault’s white-labeled platform and mobile applications help firms meet books and records compliance, improve data privacy, drive front and back-office efficiency with automation and open APIs, and deliver an enhanced digital client experience to better engage with households and the next generation. Data extraction and AI-driven patterns to gain additional efficiency and insight are available for enterprise customers. -
21
Clearwater Analytics (CWAN)
Clearwater Analytics (CWAN)
CWAN (Clearwater Analytics) delivers a unified, front-to-back investment management platform designed to streamline the entire investment lifecycle. It integrates portfolio management, order execution, accounting, risk management, and analytics into a single cloud-native solution. Built for institutional investors, CWAN enables firms to manage public and private assets with real-time visibility, automation, and accuracy. The platform enhances decision-making with GenAI-powered insights, simplifying compliance, reconciliation, and reporting across asset classes. By replacing fragmented legacy systems, CWAN empowers financial institutions to scale efficiently while maintaining operational clarity. Trusted by over 2,400 global clients managing $10 trillion in assets, CWAN provides unmatched transparency, performance, and control for modern investment operations. -
22
Advolux
Haufe Lexware GmbH & Co KG
Advolux is a comprehensive legal practice management software designed to support law firms in streamlining their daily operations. The platform offers tools for case and document management, time tracking, billing, and communication, enabling legal professionals to manage their workflows efficiently and securely. With its intuitive interface and flexible configuration options, Advolux helps law firms improve productivity, maintain compliance, and deliver reliable service to their clients.Starting Price: 726,13 € -
23
Luthor
Luthor.ai
Luthor is a modern compliance platform built specifically for small and growing RIAs who want automated, audit-ready compliance without the cost of a full compliance department. Its AI engine proactively scans marketing content across email, social media, websites, and client communications—flagging risks and suggesting compliant alternatives before anything goes live. Advisors can manage disclosures, outside activities, gifts, and attestations in one unified dashboard with automated conflict checks and instant certifications. Luthor includes a robust library of pre-built, customizable policies covering ethics, cybersecurity, AML, and more, so firms never have to start from scratch. SEC-compliant archiving and WORM-based storage keep every record protected and audit-ready at all times. With enterprise-grade security, automated monitoring, and real-time support, Luthor removes the stress of compliance so advisors can focus on growing their firms. -
24
CyberCompass
CyberCompass
We build Information Security, Privacy, and Compliance Programs to improve your cyber resilience – saving you and your organization time and money. CyberCompass is a cyber risk management consulting and software firm. We navigate organizations through the complexity of cybersecurity and compliance at half the cost of full-time employees. We design, create, implement, and maintain information security and compliance programs. We provide consulting services and a cloud-based GRC workflow automation platform to save our clients over 65% of the time to become and remain cybersecure and compliant. We provide expertise and support for the following standards and regulations – CCPA/ CPRA, CIS-18, CMMC 2.0, CPA, CTDPA, FTC Safeguards Rule, GDPR, GLBA, HIPAA, ISO-27001, NIST SP 800-171, NY DFS Reg 500, Singapore PDPA, SOC 2, TCPA, TPN, UCPA, VCDPA. We also provide third-party risk management within the CyberCompass platform.Starting Price: $5000/year -
25
ACA ComplianceAlpha
ACA Group
Build a scalable and resilient compliance program with ComplianceAlpha, our regulatory technology software platform supported by managed services. Achieve better outcomes and economies of scale with integrated technology and managed services. A comprehensive compliance program is critical not just to protecting your business – but to growing your business. See how ComplianceAlpha is helping over 800 leading financial services firms around the world build better GRC programs. Build a more resilient and comprehensive compliance program. ComplianceAlpha integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm. We pool our collective expertise across regulatory compliance, cybersecurity, performance, ESG, and technology to design, develop, and deliver valuable and timely solutions to your most pressing challenges. -
26
CE Manager
Litera
CE Manager provides accurate and up-to-date compliance rules and calculations. It allows firms to ensure compliance across jurisdictions, automate processes, and integrate with existing HR systems and content providers. CE Manager is an industry leader in CLE compliance. Its user-friendly LMS is designed to promote learning and development for the entire firm. Customize learning plans and deliver on-demand CLE content via mobile devices to your attorneys and clients to foster business development. Automate tracking requirements, mitigate compliance risks and ensure a high level of detail around rules. Automatically generate compliance reports in required formats. Proven technology to manage continuing education and compliance. A user-friendly LMS designed to promote learning and development for the entire firm. CE Manager allows you to run firm-wide compliance reports to show that attorneys are practicing in good standing, reducing risk, and showing clients the firm is compliant. -
27
Cynomi
Cynomi
MSSPs, MSPs, and consulting firms leverage Cynomi's AI-powered, automated vCISO platform to continuously assess client cybersecurity posture, build strategic remediation plans, and execute them to reduce risk. SMBs and mid-market companies increasingly need proactive cyber resilience, and ongoing vCISO services to assess their security posture, enhance compliance readiness, and reduce cyber risk. Yet managed service providers and consulting firms have limited resources and expertise to handle the work involved in providing virtual CISO services. Cynomi enables its partners to offer ongoing vCISO services at scale, without scaling their existing resources. With Cynomi’s AI-driven platform, modeled after the expertise of the world’s best CISOs, you get automated risk and compliance assessments, auto-generated tailored policies, and actionable remediation plans with prioritized detailed tasks, task management tools, progress tracking, and customer-facing reports. -
28
OneAdvanced Legal
OneAdvanced
OneAdvanced Legal is a cloud-native software portfolio designed to power modern law firms across the UK and Ireland. It helps firms streamline daily operations, improve productivity, and focus on delivering exceptional client service. Built on over 37 years of legal sector expertise, the platform combines practice management, finance, compliance, and optional embedded AI in one secure environment. OneAdvanced Legal is trusted by 86% of the UK’s Top 200 law firms and supports tens of thousands of legal professionals every day. The software is designed to meet UK-specific regulatory requirements, providing peace of mind and compliance by default. With UK-based support available 24/7, firms receive expert guidance whenever they need it. The platform scales with firms of all sizes, supporting growth, efficiency, and long-term success. -
29
PracticeProtect
PracticeProtect
You don’t need a password manager. You need a cloud and data security platform purpose-built for accountants. From compliance to advisory, single sign-on and one click offboarding, Practice Protect is trusted by more accountants worldwide than any other data and password tool. Expand your practice, hire with confidence, operate remotely and support your teams wherever they are with upgraded login security, email protection and cyber threat training. It’s all built-in. With 50+ custom-built features and 6,000+ integrations, accounting firms are safer, and more scalable with Practice Protect. From up to 10x more encryption than retail password managers to compliance templates, security training and unlimited person-to-person support, Practice Protect is the complete cloud and cyber security platform for the modern accounting firm. Find out why more accountants choose Practice Protect than any other data security tool, worldwide. -
30
Quill
Quill
A one-stop-shop for all your law firm’s software and service needs. Cloud-based legal accounts, practice and case management software with optional cashiering, typing and payroll. There’s a reason smart law firms always choose Quill. The trusted legal accounts and practice management software supplier with a long pedigree of providing outstanding legal outsourcing services. Quill is more than just software – we drive efficiencies to help your law firm succeed. Whether it’s front- or back-office tasks, Quill’s legal practice software is a smart solution for controlling your legal accounts and managing cases. Fully scalable, and ever-reliable, over 750 law firms have placed our software at the very heart of their business. Our software solution takes the headache out of compliance and puts the flexibility back into hybrid working so that you can focus on what matters most – spending less time managing your firm and more time making money. -
31
Hanzo
Hanzo
Empower you compliance and legal teams to get the most out of unstructured data with Hanzo Ediscovery & Compliance solutions. Collect & archive highly dynamic and interactive websites + work apps like Gsuite & Slack. If you can see it, we can collect it and preserve it for your archives. Book a demo today! Hanzo is solving the single biggest challenge in above-board compliance and litigation today, contextual investigation, capture, and preservation of dynamic web content. Through one sophisticated platform, you are empowered with the tools you need to capture and preserve team messaging data, social media engagement, and interactive web content then replicate it in legally-defensible native format for analysis and review. Hanzo serves government agencies, enterprises, and top law firms across the globe. Technology that ediscovery and compliance teams rely on to manage tomorrow’s biggest data challenges today. -
32
Compliance Star
Thistle Initiatives
Compliance Star is an on-demand compliance software, the right tools for effective monitoring and risk management. Compliance Star offers effective and efficient remote management of FCA Authorised Firms and its operating Units/Agents via real-time data collection and reporting. Compliance Star is a technology-enabled compliance platform that facilitates compliance management, workflow and monitoring of firms authorised by the Financial Conduct Authority (FCA). Compliance Star is underpinned by a ‘fail-safe’, calendar-based task management system. This allows for both automatic and manual setting of tasks, notifies actions, populates deadlines into a calendar, issues reminders and monitors for completion. The platform reduces compliance burden significantly and is currently being used by leading regulatory networks. Enables complete tracking of internal regulatory processes. It provides up-to-date single point data access combined with the ability to produce FCA required reports.Starting Price: £60 per month -
33
Headcount Management
Headcount Management
Headcount Management's automated and affordable EOR solutions absorb responsibility for all of your candidates. We'll manage all administrative, legal, and compliance requirements (what we do best), giving you back time to do what you do best — increase your top-line revenues and grow profit margins. As the Employer of Record, Headcount Management employs candidates in positions throughout the U.S. and Abroad. Our flexible and agile EOR solutions allow our clients to grow their talent and employee management without limits and liabilities. Worker's comp codes, payroll funding, insurance coverage, compliance — Headcount does everything (but recruiting) to support your firm. Onboarding new hires, tracking missing paperwork, adjusting payroll, and overseeing day-to-day employee inquiries can cause major disruption in your firm's productivity. Headcount's HR professionals maintain employee relationships, elevating your agency's service excellence and candidate satisfaction levels. -
34
Ruleguard
Ruleguard
Ruleguard is a leading RegTech platform that empowers financial services firms to streamline their risk and compliance processes. By combining advanced technology with deep regulatory expertise, Ruleguard helps firms effectively manage their obligations under complex frameworks such as CASS, SM&CR, financial crime rules, and broader risk and compliance mandates. Designed for adaptability and scalability, Ruleguard offers out-of-the-box solutions that reduce operational inefficiencies, minimise risk leakage, and align seamlessly with ever-evolving regulatory changes. The platform's intuitive interface allows firms to centralise compliance workflows, automate key processes, and generate actionable insights, ultimately saving time and resources during audits and regulatory reporting. -
35
StarCompliance
StarCompliance
StarCompliance (Star) is the global leader in employee and firm compliance technology. For more than 25 years, millions of users in 114 countries have relied on Star to reduce risk, manage conflicts of interest, and navigate complex regulations. The StarCompliance Enterprise platform delivers full coverage, including monitoring of personal trading, digital assets, gifts, hospitality, political donations, and outside business activities. It also supports incident management, MNPI oversight, and accountability regime compliance across multiple regions. With intuitive workflows, analytics, and dashboards, compliance teams gain actionable intelligence and a complete view of risk. Built on a secure, cloud-ready architecture that integrates with platforms like Snowflake, Star ensures scalability and adaptability. Combined with robust support, training, and resources, StarCompliance enables organizations to protect employees, safeguard reputations, and build long-term cultures of compliance. -
36
TrackMyVendor
TrackMyVendor
TrackMyVendor is a cloud-based vendor compliance management platform designed to help small to mid-sized organizations streamline how they track contractor documentation and regulatory compliance. With an intuitive interface and automated alerts, TrackMyVendor replaces spreadsheets and manual email follow-ups for license verification, insurance certificate (COI) tracking, W-9 collection, and document expiration monitoring. Key features include: Centralized compliance repository for vendor documents Automated expiry alerts for licenses and insurance certificates Customizable compliance checklists Role-based access for compliance officers and operations teams Exportable reports for audits and board reviews Integrations with email and calendar reminders TrackMyVendor is ideal for HOAs, property management companies, construction firms, facilities managers, and small procurement teams that need an affordable, easy-to-deploy solution without complex ERP integration.Starting Price: $39/month -
37
Practice Manager Pro
Legal Interact
Practice Manager Pro is a cloud-hosted practice management and accounting system designed to help medium to large law firms run a profitable and compliant legal operation. It goes beyond traditional practice management by combining open-item billing with full integrated accounting, creditors management, real-time financial dashboards, automated invoicing, bank statement imports, timesheets, work-in-progress (WIP) billing, matter and document management, and compliance-ready reporting into a single platform. Practice Manager Pro delivers financial visibility and operational control with features such as Outlook integration and support for legal-specific workflows, enabling firms to manage every aspect of their business from billing and payments to compliance and time tracking. Practice Manager Pro is built for multi-user, multi-branch firms with options for cloud-hosted or on-premises deployments and local support.Starting Price: RZAR1200/per user/per month -
38
RiskRegister.ai
RiskRegister.ai
RiskRegister.ai is a modern risk and compliance management platform designed for organizations that want to stay ahead of threats, meet regulatory requirements, and streamline governance processes. Built with the NIS2 directive, ISO 27001, and the broader ISO family in mind, RiskRegister.ai enables teams to replace spreadsheets with a structured and intuitive approach to risk management. RiskRegister.ai helps managers create, assess, track, and maintain risk definitions. Administrators can assign responsibilities, document treatments, monitor progress, and maintain complete visibility across the security and compliance landscape. RiskRegister.ai is built for cloud-driven companies, SaaS providers, consulting firms, and organizations preparing for NIS2 or ISO 27001 compliance.Starting Price: $110/month -
39
AML Factory
AML Factory
Seamless Compliance. Zero Friction. AML Factory is the all-in-one AI-powered AML platform designed to turn AML/CTF compliance from a bottleneck into a competitive advantage. Built for FinTechs, banks, and regulated firms, our platform centralizes your entire compliance lifecycle into one intuitive interface. Why Choose AML Factory? • Smart Risk Scoring: Real-time, custom risk assessment tailored to your specific requirements. • Automated KYC/KYB: Instant global identity verification, UBO identification, and PEP/Sanction screening. •Audit-Ready: Centralized case management with one-click, regulator-ready reporting. • Live Monitoring: Continuous screening with instant alerts on any customer profile changes. • Team Collaboration: A unified platform to break silos between compliance, sales, and legal teams. Scale your business without increasing your compliance head-count. AML Factory ensures you stay ahead of AMLD5/6 directives while delivering a frictionless experience.Starting Price: 5000€/year -
40
DiligenceVault
DiligenceVault
Asset owners across pension plans, endowments foundations, insurance companies and sovereign wealth funds – centralize your external manager data needs across the investment office on a single digital platform – from manager research, operational due diligence, ESG, compliance, audit confirms, to event-driven requests. Whether you are an emerging manager or an established fund, manage standard DDQs, investment databases, and investor DDQs on a centralized platform. Collaborate across investor relations, RFP, marketing, compliance, and product teams to minimize errors and deliver excellence. Whether you are an OCIO, investment consultant, wealth platform, or a fund of funds – build a defensible diligence framework across a large portfolio of fund products, and efficiently deliver differentiated investment alternatives to your clients at scale. -
41
Quantfolio
Quantfolio
Quantfolio is a modular, API-driven digital investment advisory platform and robo‑advisor engine built for banks, wealth managers, and fintechs. It centralizes and streamlines client onboarding, suitability and risk assessments, automated proposal and compliant documentation generation, and investment execution. The Investment Engine core allows firms to embed their philosophy into customizable flows, while the robo‑solution lets them deploy scalable, self‑service–style advice to retail or mass‑affluent segments. Its order‑execution module ensures a seamless journey from strategy to trade, and built‑in compliance-by-design protects against regulatory risk. With ESG integration, white‑label branding, and sustainability preferences embedded across workflows, Quantfolio enables institutions to deliver personalized, efficient, and compliant investment advice at scale.Starting Price: Free -
42
Grace Hill Multifamily Training & LMS
Grace Hill
Grace Hill’s Property Management Training solution offers a comprehensive suite of training resources designed to support property management teams. With a focus on compliance, sales skills, leasing, and maintenance, the platform provides easy access to a wide variety of courses, including Fair Housing, Tax Credit Compliance, and Emotional Intelligence. It is trusted by over 2,400 property management companies, and its award-winning Learning Management System (LMS) helps companies improve employee performance, reduce turnover, and stay up to date with industry regulations. -
43
Intapp Workspaces
Intapp
Intapp Workspaces transforms Microsoft Teams into a platform specifically built for creating engagement workflows, generating holistic insights, and automating engagement lifecycle management. Improve collaboration and connect distributed teams, all while automatically preserving your firm’s security and compliance standards. Free your professionals from the strain of administrative burdens and help them focus on strengthening client relationships and collaborating on engagement delivery. Make new engagement collaboration instantaneous and frictionless. Increase ROI for your firm’s Microsoft 365 investment and its productivity potential. Automate and maintain your firm’s security and governance standards, even with the rapid adoption of Microsoft Teams. Build, customize, and govern workspaces designed for engagement management. Use automated reminders to keep workspace owners accountable for updating lifecycle changes. -
44
Cimphony
Cimphony
Cimphony is an AI-powered legal platform designed to streamline legal operations for startups, small businesses, legal departments, and law firms. Its AI agents automate tasks such as company formation, contract drafting and review, employment and HR documentation, fundraising paperwork, and compliance management. Cimphony's intelligent document system undergoes an 8-point review process, delivering results in minutes rather than days. The platform operates 24/7, providing continuous access to legal services. It leverages 50 years of local regulations to ensure compliance across various jurisdictions. Users can access customizable templates for documents like NDAs, MSAs, SLAs, LOIs, MOUs, and partnership agreements. Cimphony also offers tools for managing SAFE notes, convertible notes, and Series A venture capital transactions, facilitating planning, drafting, negotiation, and compliance. The platform supports real-time collaboration, allowing legal teams and stakeholders to share, ediStarting Price: $399 one-time payment -
45
CCH Axcess Beneficial Ownership
Wolters Kluwer
Save time on BOI compliance with an online filing and information management solution that guides you step-by-step through the filing process. CCH Axcess Beneficial Ownership is an online filing and information management solution that automates the beneficial ownership information (BOI) filing process to FinCEN, for accounting firms that need to file large volumes of reports. By offering BOI compliance as part of a business advisory relationship, firms can enhance their role as trusted advisors. CCH Axcess Beneficial Ownership guides users step-by-step through a transparent process designed to: Save up to 3 hours per report Reduce risk and minimize disruption Build advisory services and grow revenue -
46
abacusFlex
Abacus Group
abacusFlex is a comprehensive, secure & professionally-managed IT platform that enables you to run all of your technology as a service. As a subscription model billed monthly, featuring fast and flexible deployment and designed with financial services regulation in mind, you can focus on your firm, not your technology. From our team of certified security professionals to disaster recovery experts, along with a suite of compliance tools at your fingertips, the Abacus cloud platform is specifically architected to meet the demands of regulators and investors. Our advanced continuous security protocols ensure your IT systems are monitored and protected 24 / 7 from cyber threats. -
47
Twenty Over Ten
Twenty Over Ten
In with: Modern websites that drive traffic. Social media posts that get attention. Emails that convert leads. Personalized to you. Automated for you. Completely customized websites and drip marketing campaigns used to be reserved for big spenders only. Not anymore. Twenty Over Ten’s inbound marketing platform has three tools to help you grow your advisory business. Your website is your digital first impression, so it has to be sleek. Drive more traffic, capture more leads and convert more visitors through completely customized websites built to engage your specific audience. Drag and drop tools make it easy to manage, and an award-winning, customizable content library keeps prospects engaged and improves SEO. Advisors need great marketing to grow, but compliance needs to monitor and supervise. Compliance Core bridges the gap between compliance teams and individual financial advisors. Streamline your workflow, upload firm-specific content, and approve or reject in bulk. -
48
QX Reco360
QX Global
Keep up with the constantly changing compliance regulations and manage candidates and their documents with ease. Drive cost-effectiveness, performance and efficiency with QX ReCo software. Designed for staffing firms, the software is an all-in-one cohesive suite for front office, middle office and Vendor Management System (VMS). Introduce your candidates to a simple yet robust mobile app. Bring candidate and consultant closer to ensure real-time compliance, booking, availability, documents, vacancy, digital timesheet, paper timesheet and booking schedule. Designed to fit into any recruitment vertical, the bespoke software supports flexible compliance requirements for different frameworks/industry standards. Search candidates with state-of-the-art filter options and complete bookings faster through a single screen. -
49
Business Talent Group
Business Talent Group
Why limit yourself to traditional sources of talent—existing staff, big consulting firms, or your personal network? Resource better, faster, more flexibly, and at the best market prices by accessing Business Talent Group’s marketplace of high-end management consultants, subject matter experts, boutiques, and executives. Overcome resource limitations, complete critical projects, and enhance business performance with on-demand talent. Access independent consultants trained by Big 3 and boutique firms, plus experts and executives with experience at the world's most successful companies. Get the service level you need—from hands-on support to automated and instant—to scope the work, present a curated slate of candidates, and manage all contracting and compliance. Rest easy with best-in-class information security, confidentiality, labor compliance, and contracting processes that adhere to the strict requirements of leading organizations. -
50
CUBE3.AI
CUBE3.AI
Protect your smart contracts by blocking malicious transactions rather than pausing your applications. Our advanced machine learning (ML) algorithms continuously monitor your smart contracts and transactions to provide real-time risk assessments, ensuring your web3 applications are protected against vulnerabilities, exploits, and compliance risks. Protect platform offers robust defenses against cyber exploits, wallet hacks, fraud, vulnerabilities, and compliance risks. By implementing our Real-Time Application Self-Protection (RASP) SDK and API, your web3 applications are shielded from malicious transactions, ensuring a secure environment for your users. Respond to cyber risks proactively with watchlists, alerts, reports, analytics, and logs.
