Compliance Management Software

Red Oak Software

AI-Powered Compliance Software - Designed to Optimize Your Firm's Compliance Review Processes

The answer to your compliance review needs.

Red Oak Software is a comprehensive suite of SEC 17A-4 compliant features powered by ChatGPT 3.5 Turbo and GPT4 on Microsoft Azure that is balanced by your rules to reduce deficiencies, increase the efficiency of processes, and provide compliance teams an additional layer of oversight to decrease regulatory exposure. It is tailored to meet the evolving needs of financial firms, small and large, and easily configurable to scale with the ever-evolving regulatory landscape and your firm’s needs. Our compliance management workflow software allows your firm to minimize risk, reduce costs, and increase efficiency in compliance review processes.

Where compliance, expertise, and superior technology meet.

Building and executing an effective compliance program is tedious and requires specialized knowledge. Our secure, cloud-based technology results from years of collaboration between compliance professionals and technology architects, created to manage the entire compliance review process from start to finish.

Compliance software designed to work the way you need it.

We understand that Compliance does not operate in a vacuum. Red Oak Software is tailored to meet the evolving needs of financial firms, small and large. Work seamlessly with your firm’s internal departments and the external entities you must engage to be fully compliant. Red Oak Compliance Software turns the many moving parts of your compliance review process into a well-oiled machine.

Minimize Risk. Relieve Burden. Improve Efficiency.

Rest easy and concentrate on your business. Red Oak Compliance Software keeps your compliance program on track, allowing you to protect your firm’s reputation and reduce your risk of penalties and fines.

Submit, review, and approve materials with Red Oak Compliance Software. Manage your firm’s risk instead of the submission process. Gain full transparency at all times by tracking the history of any submission from start to finish with automated tracking and record-keeping. Eliminate the faxes, emails, spreadsheets, and need for paper; with Red Oak Software, nothing will fall through the cracks, and your firm’s representatives, analysts, and management will have complete visibility into your compliance process.

Our Solutions

We offer solutions for:

Want to Learn More?

For a more comprehensive list of Red Oak Software’s features, please click here.

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Contact Us

Red Oak is here to help satisfy your firm’s compliance needs, reduce risks, and save costs.

Please contact us today at 888.302.4594, discover@redoakcompliance.com, or complete the form below for more information.

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Testimonials

Red Oak Compliance is quick and attentive to our needs and they have proven themselves to be in command of the nuances of RIA and securities regulation compliance for our fund. It’s the one area of my operation that I outsource and I have complete faith in their abilities.

As a representative with over 25 years of experience in the industry I considered drafting and filing my own registration documents. The smartest decision I made for my new RIA was to outsource that responsibility to Red Oak Compliance Solutions. They got my approval quickly and efficiently—even working after hours—saving me a lot of time which ultimately saved me money. Their work was superior—they didn’t just meet my expectations they exceeded them. I would highly recommend them to anyone who needs their services.

We are very pleased with our decision to use AdMaster. With AdMaster our Compliance team does not need to involve our IT team for tasks such as: creating spreadsheets linking to the bulk export of documents, administration of users, customizing data entry fields and drop down fields. I highly recommend AdMaster given my experience and their high quality of service.

We are very happy with the compliance work Red Oak provides us. We outsource as much as possible to Red Oak to keep us focused on managing money and the business. Always accessible and current of compliance topics an RIA and hedge fund faces on recurring basis.

I love working with your team. They are always so responsive, helpful and insightful and make my experience with AdMaster first class. Please share this email with your organization and others. Thank you.

Red Oak is highly responsive and the level of understanding and interpretation of Sierra’s needs is demonstrated time and time again. The end product, through our collaborative efforts, is always superb. I would recommend Red Oak for all your compliance needs!!