Effortless Compliance Management
Our custom designed compliance software seamlessly integrates your day-to-day activities and workflows, eliminating the manual tasks that lead to unnecessary violations.
Are you prepared for the SEC to dig into your marketing program?
How LeadPoint Compliance Works
Why LeadPoint Compliance?
We believe compliance management doesn’t have to be a hassle. It can be straightforward and seamless. With a trusted partner who understands the daily objectives and challenges you face, achieving regulatory compliance can be both simple and automated.
We understand the challenges and frustrations that come with navigating stringent regulatory requirements. That’s why we’ve developed a customizable compliance platform designed to streamline your responsibilities and safeguard your firm from potential penalties. We recognize that a ‘one size fits all’ solution isn’t effective in compliance. Your firm deserves a dedicated resource you can customize to fit your unique needs – and we’re here to assist you every step of the way.
-
Cut time and costs by automating the manual tasks that lead to violations. -
Gain complete visibility over all compliance activities and regulatory rules. -
Immediately correct violations in your current compliance program. -
Keep you and your client’s private information secure. -
Replace your collection of outdated spreadsheets, calendars, and workflows.
-
Foster client loyalty by demonstrating the value you place on their privacy and security. -
Keep your firm vigilant with audit-ready reporting. -
Eliminate up to 15 hours each week on tedious compliance-related tasks. -
Create customized internal workflows to demonstrate your unique compliance plan. -
Increase operational efficiency by avoiding legal and regulatory compliance challenges.
One Platform to Automate Your Entire Compliance Program
No more juggling a massive collection of spreadsheets, employee statements, calendars, documents, and email to stay compliant. Now you can have your RIA compliance tools together, all within one click.
Comprehensive Program Management
Gain visibility into every detail of your firm’s compliance program.
Manage your policies and procedures, setup risk controls, edit firm
disclosures, conduct marketing reviews and establish workflows all
within one streamlined system.
Advisor Messaging System
Send, track, approve and automatically follow up with all your adviser requests inside your messaging system.
Maintain total control over all your attestations, transaction reports, advisor training and marketing requests.
Advisor Messaging System
Send, track, approve and automatically follow up with all your adviser requests inside your messaging system.
Maintain total control over all your attestations, transaction reports, advisor training and marketing requests.
Annual Compliance Review
Documenting the state of your compliance program each year is a vital part of the compliance management process. Our custom-designed Annual Review Tool walks you through, step by step, each essential stage of the review process, resulting in a comprehensive, professionally designed report
SEC Marketing Rule Reviews
Consistently reviewing all marketing materials is essential to avoiding unnecessary SEC penalties and fines. Mitigate the risk and save time with our streamlined marketing review tool. Using the Advisor Messaging system your team can submit and track blogs, videos, social engagement, presentations, websites and more.
SEC Marketing Rule Reviews
Consistently reviewing all marketing materials is essential to avoiding unnecessary SEC penalties and fines. Mitigate the risk and save time with our streamlined marketing review tool. Using the Advisor Messaging system your team can submit and track blogs, videos, social engagement, presentations, websites and more.
Custom Task & Workflow Editor
Don’t rely on others to define your firm’s activities and workflows. Begin with our templates and tailor them to fit your needs. Our custom workflow tool provides a starting framework based on all regulatory requirements, allowing you to customize each activity and disclosure down to the finest detail.
Fiduciary Review Tool
A comprehensive solution for handling all your fiduciary obligations and requirements. Create custom reports for clients with their best interests in mind by analyzing services, pricing, fees and returns. Easily complete your annual retrospective review with a step-by-step Q and A solution that meets all regulatory requirements.
Fiduciary Review Tool
A comprehensive solution for handling all your fiduciary obligations and requirements. Create custom reports for clients with their best interests in mind by analyzing services, pricing, fees and returns. Easily complete your annual retrospective review with a step-by-step Q and A solution that meets all regulatory requirements.
Cybersecurity Hub
Protect your firm from unwanted threats and attacks with a single point cybersecurity solution. Following the latest NIST framework and guidelines your dashboard will keep you protected against the latest sophisticated cyberattacks
Mock SEC Examination Tool
Preparation is the key for all successful compliance programs. We created this tool so your firm can be better prepared for the unexpected. The 5 stages of the SEC mock examination tool will help you develop a solid plan of action for your firm the moment you receive notice from the SEC.
Mock SEC Examination Tool
Preparation is the key for all successful compliance programs. We created this tool so your firm can be better prepared for the unexpected. The 5 stages of the SEC mock examination tool will help you develop a solid plan of action for your firm the moment you receive notice from the SEC.
Content Library
You’ll have direct access to our extensive library of regulatory compliance forms, documents, templates and spreadsheets. This catalogue of over 50 forms and templates can be easily customized to fit your firm perfectly. Simply download the PDF, Word or Excel document and make it your own.
Automated Onboarding
Learning any new software takes time and a little patience. We designed our new client onboarding system to make it as convenient as possible to learn the ins and outs of your new compliance tool as quickly as possible.
Automated Onboarding
Learning any new software takes time and a little patience. We designed our new client onboarding system to make it as convenient as possible to learn the ins and outs of your new compliance tool as quickly as possible.
Custom Risk Assessments
Reduce the stress and uncertainty of an unexpected SEC examination by making sure your firm is prepared. A thorough risk assessment will ensure you’re ready to respond immediately with confidence.
Archive & Compliance Log
Generate tailored compliance reports that can be quickly accessed for SEC regulatory audits or inquiries. Seamlessly monitor and document all daily compliance activities, tasks, workflows, training sessions, reviews and reporting. For enhanced tracking, simply CC any email sent to your team and our platform will automatically log the contents into your compliance reporting system.
Archive & Compliance Log
Generate tailored compliance reports that can be quickly accessed for SEC regulatory audits or inquiries. Seamlessly monitor and document all daily compliance activities, tasks, workflows, training sessions, reviews and reporting. For enhanced tracking, simply CC any email sent to your team and our platform will automatically log the contents into your compliance reporting system.
Advisor Training Center
Education is one of the cornerstones to a successful and violation-free compliance program. Your advisors need constant training on the latest regulatory activities and rules. Use our custom advisor training center to conduct webinars, video training series, quizzes and more.
Vendor Due Diligence
Performing routine assessments of your vendors is a critical piece of your compliance management. To keep your firm and your clients protected it’s vital to use a proven system that streamlines this process for both new vendors and trusted partners you’ve worked with for years.
Vendor Due Diligence
Performing routine assessments of your vendors is a critical piece of your compliance management. To keep your firm and your clients protected it’s vital to use a proven system that streamlines this process for both new vendors and trusted partners you’ve worked with for years.
Advisor Dashboard
This comprehensive tool is designed to assist your investment advisors in managing and monitoring compliance-related activities efficiently. This dashboard integrates various functionalities essential for compliance management, offering a centralized hub where advisors can access critical information, tools and make requests.
Effortless
Intuitive
Automated
Sign up for a 14-day Free Trial.
No credit card needed
