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.




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.
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.

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.

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

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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