Compliance made easy

Intuitive, efficient and reliable compliance tools for RIAs and broker-dealers

Compliance Made Easy with Professional Archive

With recent developments such as the Marketing Rule, compliance professionals are tasked with demonstrating reasonable supervision to regulators. This is driving RIA and broker-dealer compliance professionals to seek out new ways to be more effective and efficient in managing their communications archive with the same or fewer resources.

The Smarsh Professional Archive meets this challenge head-on with purpose-built enhancements that streamline and simplify compliance workflows. The latest version of Professional Archive empowers firms to make compliance easier and eliminate blind spots with new proactive, modern reporting dashboards – at no additional cost.

Increase workflow efficiency

Move quickly through your supervision, reporting and case management workflows with intuitive platform navigation

Eliminate blind spots

Visualize and understand the data that is being ingested into the platform instantly with the Archive Dashboard. Save time throughout your workflow with straightforward, efficient and reliable compliance.

Promptly check reviewer activity

Get a clear view of total messages reviewed and actions taken with the Reviewer Activity Dashboard. Empower your compliance team to make your supervision work more efficient.

Instantly view policy metrics

Gain visibility into flag rates and conduct deeper analysis with the Policy Dashboard. Reveal more risks and meet evolving regulatory requirements.

Cover all your queues

Understand queue efficiency and ensure reviewers are up-to-date with the Queue Dashboard. Make supervision easy with detailed data on queue performance and supervision trends.

Get the assistance you need faster

Take advantage of the new chatbot in Professional Archive to answer questions and provide support within the platform. Just ask a question and let the chatbot guide you.