Why ROC?

Whether through our innovative software solutions or expert consulting, Red Oak empowers financial services firms to mitigate risk, manage costs, and receive unparalleled support. Our commitment to quality and deep expertise enable us to deliver solutions that stand out in the industry.

How Red Oak Eases Regulatory Burden and Minimizes Risk

Keeping up with constantly shifting regulations is a complex, time-sensitive challenge. Red Oak’s software is designed to streamline compliance processes, reducing regulatory risk while helping protect your firm’s reputation. With our automation and transparent workflows, you can be confident that nothing will slip through the cracks.

Our leadership team and compliance consultants track regulatory changes, interpret evolving rules, and proactively communicate how new requirements impact your firm. Equipped with an insider’s perspective on regulatory expectations, we can better address your unique needs. With Red Oak, your firm’s compliance is in expert hands—letting you focus on growth with confidence in your regulatory standing.

How Red Oak Helps You Control Costs

Red Oak’s software offers exceptional flexibility, allowing you to configure workflows to match your specific business requirements—without adjusting your processes to fit the software. These workflows can be modified by line-of-business administrators whenever needed, freeing you from added budget concerns, IT wait times, or compliance risks related to record-keeping.

Additionally, Red Oak provides scalable compliance expertise to supplement your staff as needed. Our compliance professionals bring years of industry experience to ensure that solutions are implemented faster, more effectively, and with cost efficiency at the forefront. We aim to optimize your compliance budget with high-quality, responsive solutions and industry expertise.

How Red Oak Delivers Industry-Leading Support

At Red Oak, customer support is at the core of our mission. We are proud to offer our clients around-the-clock support with an industry-leading average help ticket resolution time of under one hour. With the fastest implementation times and services customized to your firm’s unique needs, we ensure your experience with Red Oak is seamless and rewarding.

Our commitment is to provide a support experience that matches the quality of our solutions, so you can trust that your firm is in dedicated, responsive hands.

“Since securities compliance is never a joke, we implicitly trust the services of Red Oak. Extremely knowledgeable with great customer service, they’re the only consultant we use to serve us. The systems are great, and the people are too. In this complex world they tell us what to do.“
-Chief Compliance Officer, Broker-Dealer/RIA/Investment Bank

Why Not Red Oak?

Red Oak is dedicated to reducing your regulatory burden, helping you optimize compliance costs, and delivering industry-leading support. Reach out today to discover how we can make a difference for your firm.