Compliance software for enterprise
Enterprise compliance software for broker-dealers and advisers with multiple entities, complex hierarchies, and heavy recordkeeping obligations.
250+ people
One compliance program across every entity.
Built for layered supervisory structures.
Multi-entity firms, complex hierarchies, and heavy recordkeeping obligations, served on WORM-based, 17a-4 compliant infrastructure with SOC 2 Type 2 controls and email, SMS, and chat archiving across every entity.
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Multi-entity by design
Separate entities, registrations, and supervisory hierarchies on one platform, each with its own rules and reviewers.
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Enterprise-grade controls
SSO, SCIM, and granular permissions on SOC 2 Type 2 infrastructure, with every action written to a 17a-4 compliant record.
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Rolled out firmwide
A dedicated implementation team and AI-assisted onboarding bring thousands of people onto the platform on your timeline.
What we hear from enterprise compliance teams
Hundreds of access persons, multiple entities and teams, and a lot of process to keep consistent.
Identity and access are table stakes
Single sign-on, a user lifecycle that follows HR, and visibility that respects information barriers.
Pre-clearance at volume
Thousands of requests and alerts need clear rules, fast decisions and a trail behind each one.
Consistency across entities
Each entity has its own rules and reviewers, but the program and the record should be one.
Leaving a legacy archive
Moving off a legacy archive means bringing years of history across, with no gap in the record and no new process for reviewers.
In practice
How teams like yours use Greenboard
Access that matches your org chart
Roles, groups and information barriers decide who sees and reviews what, with single sign-on through Entra, Okta or SAML.
Surveillance at scale
Daily surveillance reports and plain-English pre-clearance rules cover every employee and client account, with each alert showing the trades behind it.
One record across entities
Every entity writes to one WORM-based, 17a-4 compliant record, so an exam request is answered from the record, not rebuilt.
The platform
What enterprise run on Greenboard
- Multi-entity and hierarchy support
- SSO, SCIM, granular permissions
- Dedicated implementation team
Unified books and records
One WORM-based record for every entity, searchable by your team and callable by GreenboardGo.
Archiving and supervision
Layered supervision across entities and hierarchies, with a reviewable trail behind every decision.
Employee compliance
Account connections, pre-clearance, and attestations for every employee, firmwide.
GreenboardGo MCP
Every capability exposed as a permissioned tool your own AI and internal systems can call.
In their words
“A huge thank you for all of the fantastic and tireless work to get Greenboard configured and rolled out by July. Being able to implement this system firmwide was an amazing feat. And we continue to receive positive unsolicited feedback from our employees — they really love the ease of account connections.”
FAQs
Frequently asked questions
How do enterprises move off a legacy archive?
Greenboard migrates your history from the previous archive and, for broker-dealers, provides the third-party undertaking for your FINRA filing. A dedicated implementation team and AI-assisted onboarding bring people onto the platform on your timeline.
Does Greenboard support multiple entities?
Yes. Separate entities, registrations, and supervisory hierarchies run on one platform, each with its own rules and reviewers, and every entity writes to one 17a-4 compliant record.
What security and access controls does Greenboard have?
Single sign-on through Entra, Okta, or SAML, SCIM provisioning, granular permissions, and information barriers, on SOC 2 Type 2 infrastructure with every action written to a 17a-4 compliant record.
Built for AI-native compliance teams.
See how your program runs on one system. Implementation is measured in weeks, not quarters.