Compliance & RegTech
Automated compliance workflows, regulatory reporting, and audit trail infrastructure built for RIAs and broker-dealers — not generic compliance checklists. From Form ADV filing automation to real-time trade surveillance, we build the systems that keep your firm ahead of SEC and FINRA requirements.
Regulatory landscape
The Burden of SEC and FINRA Compliance
SEC and FINRA compliance requirements for registered investment advisors and broker-dealers are expanding in scope and complexity every year. Form ADV amendments, 13F filings, best execution monitoring, advertising rule compliance, and books and records obligations demand constant attention — and the penalties for falling behind are severe.
Most RIAs still rely on spreadsheets, manual checklists, and calendar reminders to manage regulatory obligations. Compliance officers spend their time chasing filing deadlines and assembling documentation instead of identifying actual risk. When an SEC examiner requests evidence of your compliance monitoring program, a folder of spreadsheets is not a convincing answer.
Manual compliance processes do not scale. As your firm grows — more clients, more accounts, more advisors — the volume of regulatory obligations grows with it. Every manual step introduces the risk of human error, missed deadlines, and incomplete records. The cost of a single compliance failure — whether it is a late filing, a missed disclosure, or an inadequate response to an examination — far exceeds the cost of building the right systems from the start.
What we automate
Compliance Automation Services
Regulatory Filing Automation
Automated Form ADV and 13F filing workflows with built-in validation, amendment tracking, and deadline management. Eliminate manual data entry errors, ensure timely submissions, and maintain a complete history of every filing and amendment your firm has made.
Compliance Monitoring & Alerting
Real-time compliance dashboards that surface exceptions before they become violations. Trade surveillance, portfolio restriction monitoring, personal trading pre-clearance, and automated breach detection with escalation workflows that ensure nothing falls through the cracks.
AML/KYC Workflow Automation
Streamlined client onboarding with automated identity verification, sanctions screening, and beneficial ownership determination. Ongoing monitoring workflows that flag changes in client risk profiles and generate the documentation your compliance team needs for regulatory examinations.
Audit Trail & Record-Keeping
Immutable audit logs that capture every compliance-relevant action across your systems. SEC books and records compliance under Rule 204-2, automated retention policies, and instant retrieval capabilities so you can respond to examination requests in hours instead of weeks.
The compliance gap
Why Manual Processes Fail at Scale
Spreadsheets and manual checklists work when your firm manages a handful of accounts. They break down when you are managing hundreds of client relationships, dozens of advisors, and a growing web of regulatory obligations across multiple jurisdictions.
The cost of a compliance failure is not just the fine — it is the reputational damage, the disruption to your business, and the months of remediation that follow. A missed Form ADV amendment, an unreported material change, or an incomplete response to an SEC examination request can trigger enforcement actions that threaten your firm's registration and your clients' trust.
Generic SaaS compliance tools are built for broad markets, not for the specific requirements of RIAs and broker-dealers. They do not understand the nuances of SEC examination priorities, FINRA advertising rules, or the operational workflows that drive compliance in investment management firms. SSG builds compliance infrastructure that reflects how your firm actually operates — not how a software vendor thinks it should.
Our commitment to security
SOC 2 Type II Certified
We do not just build compliance systems; we operate under the same rigorous standards. SSG is SOC 2 Type II certified — the same audit framework we help our clients achieve.
SOC 2 Type II certification requires independent third-party verification of security controls over a sustained period, covering access controls, encryption, change management, incident response, and monitoring. It is not a self-assessment or checklist — it is an audited attestation of operational security maturity.
When we build compliance automation systems that handle sensitive regulatory data, client information, and filing workflows, we apply the same controls we defend in our own audits. That operational credibility matters when your compliance infrastructure needs to meet the same standards your firm is held to.
Schedule a consultation
Ready to automate your compliance?
Whether you need regulatory filing automation, real-time compliance monitoring, AML/KYC workflow modernization, or a complete audit trail infrastructure — we bring the same rigor we apply to our own SOC 2 Type II certified operations. No generic checklists. No off-the-shelf tools. Just compliance systems built for the regulatory and operational requirements of RIAs and broker-dealers.