AI-Powered Compliance
Software
AI-Powered Compliance Software - Designed to Optimize Your Firm's Compliance Review Processes
100% BOOKS AND RECORDS COMPLIANT
>99.9% UPTIME
<1 HOUR AVERAGE HELP TICKET RESOLUTION
4-8 WEEK AVERAGE IMPLEMENTATION
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 and configured to align with your firm’s compliance rules. Our software is designed to reduce deficiencies, improve process efficiency, and provide your compliance team with added oversight to decrease regulatory exposure.Whether you’re a small firm or a large enterprise, Red Oak scales with your firm’s needs and the ever-evolving regulatory landscape.
Compliance Expertise Combined with Secure, Cloud-Based Technology
Executing an effective compliance program requires specialized knowledge. Red Oak’s secure, cloud-based technology, built in collaboration with compliance professionals and technology experts, is designed to manage your 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 adapts to the changing needs of both small and large financial firms. It integrates seamlessly with your internal departments and external partners to ensure full compliance. Our software streamlines the complex components of your compliance review process for greater efficiency.
Minimize Risk. Relieve Burden. Improve Efficiency.
- Focus on your core business while Red Oak Compliance Software helps keep your compliance program on track, protecting your firm’s reputation and reducing the risk of penalties and fines.
- With Red Oak Compliance Software, you can submit, review, and approve materials in a streamlined workflow. Instead of managing submissions manually, you can focus on managing compliance risk. Our system provides full transparency, tracking submission history from start to finish through automated record-keeping. Eliminate faxes, emails, spreadsheets, and paperwork, and give your firm’s representatives, analysts, and management complete visibility into the compliance process.
- With Red Oak Software, nothing will fall through the cracks.
Our comprehensive compliance solutions include:
- Advertising Review
- Disclosure Management and Intelligence
- Registration and Licensing Management
- Complaint Management
- And more."
Want to Learn More?
Interested in exploring all of Red Oak Software’s features?
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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