FAQs – LeadPoint Compliance

Frequently Asked Questions

Find quick answers to common questions about our services.

01What features does your compliance software offer?

Here are some of the tools you’ll get access to inside our compliance platform:

Automated Compliance Calendar: Automatically schedules and tracks compliance tasks and deadlines.
Workflow Editor: Customizable workflows to manage and automate compliance processes.
Marketing Review Tool: Reviews marketing materials to ensure compliance with regulations.
Annual Compliance Review: Organizes and facilitates the annual compliance review process.
Archive and Reporting: Stores compliance documents securely and provides reporting tools.
Risk Assessment Software: Identifies and assesses potential risks to prioritize mitigation.
Content Library: Centralized library of compliance resources, templates, and guidelines.
Advisor Dashboard: Dashboard for advisors to track their compliance tasks and activities.
Mock SEC Exam Tool: Prepares firms for SEC exams through simulated scenarios.
Cybersecurity Hub: Centralizes cybersecurity policies and resources to ensure regulatory compliance.

02Do you offer consulting or DFY (Done for You) services?

Yes, we offer both consulting and Done for You (DFY) services. While our primary focus is on providing custom design software solutions, we can connect you with the perfect consultant to assist with specific compliance questions or other industry-related needs. We have an extensive network of experienced consultants who specialize in various aspects of compliance, risk management, and business operations. If you prefer a more comprehensive solution, our DFY services can fully manage the implementation and execution of your compliance needs, ensuring a smooth and efficient process tailored to your firm’s unique requirements.

03How can this software save my firm up to 15+ hours per week on compliance related activities?

Our software is designed to streamline and automate key compliance processes, saving your firm valuable time. Here a few examples of how it can save you up to 15+ hours per week:

Annual Compliance Review Tool: This tool automates the time-consuming process of gathering and reviewing compliance data. It helps you quickly assess whether your firm is meeting regulatory requirements, eliminating the need for extensive manual research. The tool guides you through the review process and generates detailed reports, reducing the hours spent on compliance assessments.
Risk Assessment Tool: Our software helps you identify potential compliance risks by evaluating your firm’s activities and regulatory environment. It guides you through establishing the appropriate controls, allowing you to proactively address risks and save time on manual risk analysis.
Workflow Automation: With features like the automated compliance calendar and workflow editor, your team can easily track, schedule, and execute compliance tasks without the need for constant oversight. Tasks that typically require follow-ups or reminders are automatically triggered, significantly reducing manual tracking efforts.
Marketing Review Tool & Document Archiving: The automated marketing review process ensures that all marketing materials are compliant before distribution, saving time spent on manual checks. Additionally, our archive and reporting tools organize and store compliance documents, making retrieval and audits faster and more efficient.

Overall, these automated tools and streamlined workflows combine to significantly reduce the time spent on compliance-related activities, freeing up your team to focus on more strategic tasks.

04How is this different from other compliance solutions used by consultants to help their clients?

Our solution stands out because it allows consultants to create a tailored compliance environment for each client, based on their unique needs and goals. Unlike other compliance solutions, our platform enables:

Customizable Annual Compliance Review: Consultants can update and adapt the review process to align with each client’s specific regulatory requirements and business operations.
Personalized Workflows & Tasks: Consultants can establish custom workflows and tasks to address each client’s individual compliance challenges, ensuring a more tailored approach.
Flexibility: The software is designed to be highly flexible, so consultants can modify and adjust compliance processes as client needs evolve, ensuring ongoing compliance and efficiency.

This level of customization allows consultants to provide a more personalized, efficient, and scalable compliance solution tailored to each client’s unique situation.

05What is custom about this compliance software?

Our software is designed to give CCOs the flexibility to create a compliance program tailored to their firm’s unique needs. Here’s how:

Customizable Annual Compliance Review: You can update and adjust the review process to match their firm’s specific requirements, ensuring efficiency and accuracy.
Personalized Workflows & Tasks: You can build workflows and assign tasks tailored to their firm’s compliance needs, making the process streamlined and relevant.
Risk Management Controls: Our platform helps you identify and establish controls based on the firm’s unique risk profile, proactively addressing regulatory risks.
Marketing Review Tool: You can set customized approval processes for marketing materials to ensure compliance with firm-specific standards.
Flexible Reporting & Archiving: You can generate custom reports and organize compliance documentation according to the firm’s needs for easy access during audits.
Adaptable to Changing Regulations: The software allows CCOs to quickly update processes as regulations change, ensuring the firm remains compliant.

By providing these customizable features, our software helps RIAs maintain an efficient, scalable, and proactive compliance program tailored to their firm’s specific needs.

06Do I get access to all the compliance tools and services in the 14-Day Free Trial?

During your 14-day free trial, you’ll have access to a wide range of our core compliance tools and services. This trial gives you the opportunity to explore how the software can help your firm build a comprehensive compliance management program. Some of the key features available during the trial include:

Automated Compliance Calendar
Workflow Editor and Activities Manager
Marketing Review Tool
Annual Compliance Review with automated risk assessment
Archive and Reporting functionality

These tools will allow you to experience firsthand how our software can streamline your compliance processes and provide valuable insights into managing your firm’s compliance needs.

Here are some of the tools you’ll get access to inside our compliance platform:

Automated Compliance Calendar: Automatically schedules and tracks compliance tasks and deadlines.
Workflow Editor: Customizable workflows to manage and automate compliance processes.
Marketing Review Tool: Reviews marketing materials to ensure compliance with regulations.
Annual Compliance Review: Organizes and facilitates the annual compliance review process.
Archive and Reporting: Stores compliance documents securely and provides reporting tools.
Risk Assessment Software: Identifies and assesses potential risks to prioritize mitigation.
Content Library: Centralized library of compliance resources, templates, and guidelines.
Advisor Dashboard: Dashboard for advisors to track their compliance tasks and activities.
Mock SEC Exam Tool: Prepares firms for SEC exams through simulated scenarios.
Cybersecurity Hub: Centralizes cybersecurity policies and resources to ensure regulatory compliance.

Our software is designed to streamline and automate key compliance processes, saving your firm valuable time. Here a few examples of how it can save you up to 15+ hours per week:

Annual Compliance Review Tool: This tool automates the time-consuming process of gathering and reviewing compliance data. It helps you quickly assess whether your firm is meeting regulatory requirements, eliminating the need for extensive manual research. The tool guides you through the review process and generates detailed reports, reducing the hours spent on compliance assessments.
Risk Assessment Tool: Our software helps you identify potential compliance risks by evaluating your firm’s activities and regulatory environment. It guides you through establishing the appropriate controls, allowing you to proactively address risks and save time on manual risk analysis.
Workflow Automation: With features like the automated compliance calendar and workflow editor, your team can easily track, schedule, and execute compliance tasks without the need for constant oversight. Tasks that typically require follow-ups or reminders are automatically triggered, significantly reducing manual tracking efforts.
Marketing Review Tool & Document Archiving: The automated marketing review process ensures that all marketing materials are compliant before distribution, saving time spent on manual checks. Additionally, our archive and reporting tools organize and store compliance documents, making retrieval and audits faster and more efficient.

Overall, these automated tools and streamlined workflows combine to significantly reduce the time spent on compliance-related activities, freeing up your team to focus on more strategic tasks.

Customizable Annual Compliance Review: Consultants can update and adapt the review process to align with each client’s specific regulatory requirements and business operations.
Personalized Workflows & Tasks: Consultants can establish custom workflows and tasks to address each client’s individual compliance challenges, ensuring a more tailored approach.
Flexibility: The software is designed to be highly flexible, so consultants can modify and adjust compliance processes as client needs evolve, ensuring ongoing compliance and efficiency.

This level of customization allows consultants to provide a more personalized, efficient, and scalable compliance solution tailored to each client’s unique situation.Our software is designed to give CCOs the flexibility to create a compliance program tailored to their firm’s unique needs. Here’s how:

Customizable Annual Compliance Review: You can update and adjust the review process to match their firm’s specific requirements, ensuring efficiency and accuracy.
Personalized Workflows & Tasks: You can build workflows and assign tasks tailored to their firm’s compliance needs, making the process streamlined and relevant.
Risk Management Controls: Our platform helps you identify and establish controls based on the firm’s unique risk profile, proactively addressing regulatory risks.
Marketing Review Tool: You can set customized approval processes for marketing materials to ensure compliance with firm-specific standards.
Flexible Reporting & Archiving: You can generate custom reports and organize compliance documentation according to the firm’s needs for easy access during audits.
Adaptable to Changing Regulations: The software allows CCOs to quickly update processes as regulations change, ensuring the firm remains compliant.

By providing these customizable features, our software helps RIAs maintain an efficient, scalable, and proactive compliance program tailored to their firm’s specific needs.During your 14-day free trial, you’ll have access to a wide range of our core compliance tools and services. This trial gives you the opportunity to explore how the software can help your firm build a comprehensive compliance management program. Some of the key features available during the trial include:

Automated Compliance Calendar
Workflow Editor and Activities Manager
Marketing Review Tool
Annual Compliance Review with automated risk assessment
Archive and Reporting functionality

These tools will allow you to experience firsthand how our software can streamline your compliance processes and provide valuable insights into managing your firm’s compliance needs.