What is Compliance Technology?

In short, it is the aligning, automation, and advancing of your compliance program through an integrative platform. Not all Compliance Technology Solutions offer the same capabilities or functionalities, but when paired with in-depth consultation, custom strategy and hands on guidance, it is the ultimate tool for any firm.

Compliance Technology Platforms

Why is Compliance Technology Important?

Compliance Technology is essential to any compliance program – large or small. In a world that is constantly on the move, compliance technology allows financial industry firms to capture essential data, survey activities, document compliance tests, maintain critical compliance documents and records, capture employee reporting and certifications, and so much more.

Regardless of the size of your firm, Core Compliance believes there is a solution for your organization, which will allow you to remotely supervise and administer your compliance program whenever and from wherever you are.

How Core Compliance Adds to Compliance Technology

For those clients who engage Core Compliance for support services, they're empowered with the assurance that their compliance technology software has the ability to connect our team to their program and departments. With a compliance technology solution in place, Core Compliance will be able to work alongside your team and complete the necessary and critical tasks of your compliance program.

Throughout the year, as we perform your annual Form ADV amendments, policies and procedures updates, risk assessments, annual reviews, or even marketing reviews - clients are protected knowing that those documents, records, and work papers are uploaded, managed and maintained in one central area - within your compliance technology solution. In the event you need us to perform testing, conduct personal trade reviews or provide additional support in a particular area, implementing a compliance technology will allow us access into your compliance environment so we can do just that – support you real time.

While Core Compliance works with many compliance software companies, we have a strategic partnership with two nationally known vendors. We can work with your firm to:

  • Assist with the integration and implementation of the compliance technology
  • Create and maintain your compliance calendar
  • Upload critical documents into the compliance software
  • Develop standard operating procedures for using the compliance technology
  • Assist with downloads from the firm’s and access person’s custodial broker-dealers
  • Train personnel on how to use the software interface
  • Assist with administering your compliance program
How to Get Started

Core Compliance’s compliance technology offerings are designed to enhance any compliance program and streamline the processes attached to your regulatory requirements. Our goal is to help you to have the right compliance technology solution that meets your needs and business model, but that will remain cost effective. For more information, please click here, contact us at (619) 278-0020 or email us at info@corecls.com