Compliance Technology Built by Compliance Lawyers
Designed by securities attorneys who understand today’s regulatory complexity, ComplianceNerdOS is a compliance platform built for RIAs and broker-dealers who demand the highest standards.
When Compliance Gets Complicated, Generic Software Falls Short
Your firm faces sophisticated regulatory challenges that most software can’t handle.
Complex Multi-Jurisdictional Requirements
Generic CRM systems can’t handle the sophisticated regulatory requirements across different jurisdictions that your firm operates in.
Evolving Regulatory Landscapes
Outdated software becomes a liability when regulations change. You need a platform that evolves with the regulatory environment.
Integration Nightmares
Managing separate compliance tools, CRMs, and document management systems creates operational risks and wastes valuable resources.
Manual Processes
Time-consuming manual processes create operational risk and consume resources that should be focused on serving clients.
Staff Training Bottlenecks
When compliance systems aren’t intuitive, training new staff becomes a major time investment and ongoing challenge.
Regulatory Examination Risk
When regulators come knocking, you need more than generic software—you need legal backing and compliance expertise.
Most compliance technology is built by software companies, not compliance professionals.
The difference shows when regulators come knocking.
Comprehensive Compliance Management in One Platform
ComplianceNerdOS consolidates your compliance technology stack with enterprise-grade functionality
Integrated Compliance Management
Streamline regulatory workflows across your entire operation.
✓ Real-time regulatory monitoring and alerts
✓ Automated compliance testing and exception reporting
✓ Comprehensive audit trail management
✓ Regulatory filing preparation and tracking
Intelligent Document Management
Purpose-built for compliance documentation requirements
✓ Regulatory document templates with built-in compliance checks
✓ Version control and approval workflows
✓ Client communication tracking with regulatory context
✓ Secure document sharing with audit-ready access logs
Advanced Risk Monitoring
Proactive compliance risk identification and management
✓ Automated surveillance for regulatory violations
✓ Risk scoring and escalation protocols
✓ Compliance calendar with regulatory deadline tracking
✓ Exception management with remediation workflows
Regulatory Reporting & Analytics
Comprehensive reporting for regulatory examinations
✓ Pre-built regulatory reports for common examination requests
✓ Custom analytics for compliance trend analysis
✓ Real-time dashboard for compliance health monitoring
✓ Historical compliance data analysis and trending
Enterprise-Grade Security & Compliance Infrastructure
Security & Compliance
SOC 2 Type II certified infrastructure, bank-level encryption, role-based access controls, and comprehensive audit logging
Integration Capabilities
API connectivity with major custodial platforms, CRM integration, portfolio management system connectivity
Scalability & Performance
Cloud-native architecture, automatic scaling, 99.9% uptime, real-time data synchronization
Replace 5+ Tools with One Platform
Smart RIA
$3,000-5,000/year
Orion Compliance
$10,000-15,000/year
Filing and Formatting 13F
$1,500-2,500/year
Manual processes
$5,000+/year
Total Annual Savings
$40,000+
Choose Your Path
Get ComplianceNerdOS with full compliance support or as a standalone platform
Outsourced Compliance Department
ComplianceNerdOS Included at NO Additional Cost
- Complete compliance takeover by our legal team
- ComplianceNerdOS platform included
- Attorney-client privilege protection
- Regulatory examination defense
- All compliance functions managed
- Ongoing regulatory updates
- Perfect for firms that want compliance off their plate
ComplianceNerdOS Self-Managed
Monthly Subscription Model
- Full access to ComplianceNerdOS platform
- Enterprise-grade compliance tools
- Integrated document management
- Automated risk monitoring
- Regulatory reporting and analytics
- Technical support from compliance professionals
- Perfect for firms that want more control with better tools
See ComplianceNerdOS in Action
Schedule a platform demonstration to see how ComplianceNerdOS addresses your specific compliance challenges.