Elevate Your Compliance Processes

AI-Powered Software Designed to Optimize Your Compliance Processes

AI-Powered Software Built by Compliance Professionals, for Compliance Professionals.

With the help of Red Oak’s AI-powered compliance software, you can optimize your internal processes, increase transparency across teams, automate manual tasks, and reduce regulatory risk.

Advertising Review

Automation of processes benefits you, your compliance team, and your firm with increased productivity, standardized tasks, and simplification overall simplification of compliance processes and the ability to mitigate your compliance risks. Our configurable workflows are designed to fit your business rather than changing how your business works to fit the software. Easily configure as many workflows as you want, asking different user-defined questions, having different steps, different behavior settings, and/or going to different groups of users or having different statuses.

Transparency, tracking, notifications, escalations, lexicon scanning, the intelligent application of approved disclosures, reporting, and best practice guidance from Red Oak positively impact advertising and marketing approval times. Imagine how good it is when a rush request is truly a rush and easily handled and not simply the result of your submitter’s frustration with what has become your “normal.”

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Smart Review^SM Disclosure Management

At Red Oak Compliance, we understand the challenges that disclosures present for clients. We are committed to adding value for our clients by making the compliance review process as effective and efficient as possible. The Smart Review module has been strategically developed to solve the storage and maintenance of disclosures, taking it to the next level by providing scanning, reporting, and possible integrations to help clients reduce risk, decrease review times, and increase the speed of distribution of marketing materials.

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Licensing and Registration Management

Red Oak’s Registration Management software automates the licensing and registration management process with a centralized tracking system for representatives’ and agents’ credentials and registration deadlines that is 100% books and records compliant.

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Complaint Management

What are you doing to ensure accurate tracking and reporting of customer complaints? Current regulations require firms to report complaint handling quarterly and maintain records for several years. Red Oak’s complaint management software suite includes complaint tracking management to track, maintain, resolve, and report critical complaint information.

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At Red Oak, we understand that Compliance does not operate in a vacuum. Our teams work seamlessly with all the internal departments and external entities you must engage to be fully compliant. It turns many moving parts into a well-oiled machine.

Join the growing number of firms that rely on Red Oak Compliance Solutions to stay ahead of the regulatory curve and experience the benefits of AI-powered compliance software for your team.

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!!