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Building more profitable practices with compliance

Third-Party Risk and Compliance Software for Investment / Wealth Management

Mismanaging vendor contracts is expensive – costing businesses up to 10% in annual revenue. As specialists in vendor and contract management, our wealth management and broker-dealer compliance software helps your firm protect itself from costly vendor mistakes while complying with regulations and preparing you for the unexpected with compliant business continuity planning. 

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73%
of RIAs
will outsource more functions in the next year to gain a competitive edge
25%
of new clients
will leave their investment advisors in the next two years due to substandard technology
$60
million
is how much a large bank paid in fines from poor vendor management

Integrated Wealth Management Compliance Software

Ncontracts’ RIA compliance solutions enable RIAs to proactively avoid costly vendor and compliance mistakes while maximizing operational efficiencies. As compliance burdens grow, investment advisors need to streamline manual processes and adopt automation for vendor management, business continuity, and FINRA/SEC compliance. 

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Vendor Management 

Proposed SEC regulations require that investment advisors conduct due diligence and monitor their outsourced service providers. Current broker-dealer compliance software does not offer this function – Ncontracts does. Meeting regulatory requirements is one thing. But how do you know if your vendors are giving you the most value for your dollar? Our vendor management solution empowers RIAs to manage the costs of outsourced activities. 

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Ncontinuity

Business Continuity Management

What happens when your clients can’t access their online portfolio? They find a different advisor. With so many clients switching advisors, business continuity planning is a top priority for RIAs. It’s also a FINRA regulatory requirement that needs to be part of your asset management compliance program. You need a software solution that helps you plan for unexpected service disruptions and complies with regulations.  

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Ncomply

Compliance Management 

Our investment compliance software includes all FINRA rules and guidance. Daily regulatory updates ensure that your investment firm stays ahead, enabling you to handle new regulations easily. Don’t overspend on a team of lawyers – when you invest in Ncontracts’ investment advisor compliance software, the regulations you need, curated by our compliance experts, are just a click away. 

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Get Our Free Whitepaper

Vendor's Keeper: How to Make Sure Your Third-Party Vendors Aren’t Creating a Compliance Nightmare

Vendor contracts are vital for RIAs in lowering service-provider prices and maximizing value. Read our whitepaper: “Protect Your Interests: How to Negotiate Cost-Saving Vendor Contracts.” 

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our solutions

Investment Advisor Compliance Software

Discover Ncontracts’ profit-driven compliance solutions 

Vendor Risk Management 

Avoid costly compliance errors by managing risk throughout the lifecycle of your vendor from onboarding to termination. 

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Vendor Contract Management 

Negotiate better terms with vendors by identifying hidden costs and risks. 

 

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Vendor Cybersecurity Monitoring 

Monitor vendor cyber risks and possible data breaches in real-time with our vendor cybersecurity software. 

 

Vendor Compliance 

Establish and maintain a vendor supervisory system in compliance with FINRA notice 05-48. 

 

Business Continuity Planning 

Build a business continuity program to retain and attract new clients and comply with FINRA rule 4730. 

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Cybersecurity Privacy Protection 

Comply with FINRA’s 2024 cybersecurity guidance in protecting the confidentiality and integrity of confidential customer information. 

 

Cybersecurity Risk Management 

Implement a supervisory framework for cybersecurity risk management and incidents of cyber fraud. 

 

Customer Privacy Protections 

Meet the regulatory requirements of SEC Rule 30 and FINRA regarding customer records and privacy protections. 

BSA Compliance 

Manage your investment firm’s BSA risk and control environment following the rules outlined in FINRA 3310. 

Customer Complaint Management 

Develop a statistical summary of customer complaints for quarterly reporting under FINRA 4530.  

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Fintech & Financial Institutions: How to Safely (and Profitably) Work Together
How do you build and maintain a successful fintech-financial institution partnership? Find out in this webinar as Ncontracts Founder & CEO Michael Berman takes you through the process step-by-step.
Watch Now
Request A Demo

Explore financial advisor compliance solutions tailored to your business needs

Elevate your third-party risk and compliance management with our expert Solution Advisors in investment/wealth management. See out investment compliance software in action. 
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Articles & Thought Leadership

Everything from Fair Lending Compliance to Business Continuity Management and our cloud software capabilities.

How to Optimize Your Financial Institution’s Policy Development Process

How to Optimize Your Financial Institution’s Policy Development Process

March 06, 2025 4 min read
What is Business Continuity for Financial Institutions?

What is Business Continuity for Financial Institutions?

February 27, 2025 6 min read
Policy Management Pain? Here’s How Financial Institutions Can Fix It

Policy Management Pain? Here’s How Financial Institutions Can Fix It

February 18, 2025 3 min read
resources for fintech

Articles & Thought Leadership

Everything from Fair Lending Compliance to Business Continuity Management and our cloud software capabilities.

What is Business Continuity for Financial Institutions?

What is Business Continuity for Financial Institutions?

February 27, 2025 6 min read
A Guide to Emerging Risks in Banking for 2025

A Guide to Emerging Risks in Banking for 2025

January 09, 2025 9 min read
Business Continuity Planning (BCP) Q&A for Financial Institutions

Business Continuity Planning (BCP) Q&A for Financial Institutions

October 10, 2024 10 min read