Compliance software for growth firms: Scale the program, not the headcount
Compliance software for growing RIAs and broker-dealers, where supervision has to keep pace as headcount and channels multiply. Configure your own risk graph, route work to the right reviewers, and keep everything on one record.
25–250 people
A full compliance program. Without a full team.
- 01
Consolidate point solutions
Retire the separate archive, trading, and marketing vendors you picked up along the way, and run the whole program on one scalable platform.
- 02
Supervision that keeps pace
A risk graph you configure combines AI rules and lexicons, so new channels and new hires don’t mean a flood of false positives.
- 03
Work goes to the right person
Roles, groups, and delegation route every review, escalation, and approval to the reviewer who should own it.
Common compliance gaps at growing, mid-sized firms
Firms adding advisors, offices and channels faster than they add compliance staff, with marketing review, archiving and surveillance often split across separate tools.
Onboarding comes in waves
A new team or office means many accounts, attestations and channel connections at once.
Legacy vendors have to go
Firms want to retire the separate archive and GRC tools they picked up along the way, and bring their history with them.
Reviews need to be split up
Marketing reviewers, supervisors and admins each own different work and should see only what is theirs.
In practice
How teams like yours use Greenboard
Work routed by group
Groups and roles send each review and approval to the person who owns it, with visibility limited to what each team needs.
Supervision that keeps pace
New hires and new channels flow into the same prioritized review queue, screened against rules you control.
Rules that clear the routine
Approve gifts under your limit and other routine requests automatically, so reviewers spend time on the exceptions.
The platform
What growth firms run on Greenboard
- Roles, groups, and delegation
- Custom GreenboardGo Agents
- Consolidate point solutions
Archiving and supervision
Every channel your people use, supervised with a risk graph tuned to your program.
Firm compliance
Processes, risks, and controls mapped as workflows, with Go Agents doing the monitoring.
Third-party diligence
Questionnaires and risk ratings for every vendor and sub-adviser you add as you grow.
GreenboardGo Agents
Custom agents for the repetitive work your team does every week, built in plain English.
In their words
“I just had to activate NMG and there are 19+ users and I have to tell you, I LOVE the new functionality where you can take bulk action! Saved me time and less clicks!”
FAQs
Frequently asked questions
What are common compliance gaps at mid-sized firms?
Separate archive, trading, and marketing tools picked up along the way, onboarding that arrives in waves, and reviews that all land on one person. Greenboard consolidates the tools, routes each review to the person who owns it, and onboards new teams into the same queue.
What compliance software scales with a growing RIA?
Software where supervision keeps pace without more reviewers. In Greenboard, a risk graph you configure combines AI rules and lexicons, and rules clear routine requests automatically, so new channels and hires don't mean a flood of alerts.
Can a growing firm bring its history when it consolidates vendors?
Yes. Greenboard migrates history from your previous archive, so retiring a legacy vendor doesn't leave a gap in your records.
Built for AI-native compliance teams.
See how your program runs on one system. Implementation is measured in weeks, not quarters.