Employee trade monitoring

Monitor and mitigate employee personal securities transactions risk with a proactive monitoring solution designed to specifically address the unique needs of RIAs.  

Our employee trade monitoring solution enhances your existing compliance program with:

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Streamlined transactions, holdings and accounts attestations process

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Proactive identification and resolution of potential trading and firm-level policy violations

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Automated the personal trading pre-clearance process

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Customizable trade limits and restricted lists

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Automatic logging of all trade monitoring activities of employees

RIA employee trade monitoring

RIA employee trade monitoring

Compliance technology designed specifically for RIAs

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Our powerful integration capabilities facilitate data connections between MyRIACompliance and other industry-leading solutions, enhancing communications, increasing efficiency and providing a seamless customer experience.
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Industry partners

With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
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Superior user experience

Built on a mobile-first architecture, our platform provides a frictionless experience for you and your employees, making compliance easy and painless.
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Platform innovation

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients.
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Award-winning customer service

Your experience is our top priority. With 24/5 customer service and extensive industry knowledge, you can count on a smooth and ideal customer experience.
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Backed by regulatory expertise

Our technology and resources are backed by decades of regulatory expertise, with the support of compliance consultants who have served as CCOs, lawyers and regulators themselves.

Supporting documents

RIA Code of Ethics: Employee Trade Monitoring During Market Volatility
RIA in a Box Announces Employee Trade Monitoring Software Enhancements
Why RIAs use compliance technology to automate employee trade monitoring

Frequently Asked Questions

Who is this product designed for?
Which regulations will this tool help me comply with?
Does the system create access person holdings and transactions reports?
Does the system allow CCOs to manage a restricted securities list?

Ready to get started?

Monitor, verify, mitigate. Power up your employee trade monitoring solution today.