Keeping investment advisers audit ready
All-in-one compliance program management for registered investment advisers. I joined before the first customer and designed the product through to high five-figure MRR in under two years.
The one-person compliance team
The chief compliance officer at a small adviser, usually with a second title. Policies live in Word, the calendar in Excel, the evidence in a shared drive and the expensive answers with a consultant. The exam letter still arrives on a Tuesday.
- Walk into the exam with the evidence already in hand
- Know what is due before it is late
- Stop paying by the hour for routine questions
Attestations built like the policy they enforce
Drag a block from the left, write the rule on the right, publish to every access person. The quarterly transaction report went from a consultant's Word file to a form the firm builds itself.
Every employee trade, checked against the restricted list
Linked brokerage accounts pull trades in automatically. Anything that touches a restricted security is flagged before the quarterly report is due.
Hire an expert without leaving the program
Find an Expert matches a firm with a vetted compliance specialist for a project. The conversation, the proposal and the signed work order live in the notification center, next to the work.
A calm, consistent design library
Navy for structure, one yellow for the action that matters, green for done. Few rules, so a small team could ship new modules that still looked like Complect.
