Meet the industry's only compliance tech built by and for CCOs
Managing compliance is a must. Why not have cool technology to make it easier?
We know the repetitive and time-consuming tasks that make RIA compliance such a challenge
So we built a technology platform to simplify these tasks and make your work more fulfilling.
Policies Manager
Policies and procedures are the foundation of a compliance program. Compliance risk immediately goes up when policies don't keep up with business changes. Technology can automatically flag missing or outdated policies to help you keep compliance in sync.
Personal Trading Manager
The periodic review of advisers' personal trading accounts is one of THE most time-consuming activities for a chief compliance officer. Technology can dramatically simplify this task by collecting account activity and presenting data in an easy-to-review report.
Document Manager
Everything of importance to a compliance program—policies, test results, attestations, forms—is contained in a document. Having a central repository for the sending, signing, and storing of all compliance documentation makes things easier and saves time.
Compliance Calendar
Creating a calendar is one of the best ways to more efficiently manage time spent on compliance. Use technology to auto-populate dates and activities from other compliance modules. This is an easier way to maintain a calendar that appropriately aligns with your compliance program needs.
Testing Manager
Testing is a critical component of an effective compliance program. Automated tests help ensure you complete this activity on a consistent basis—without taking up too much of your time.
NEW - Form Builder
Use Joot's new Form Builder to send employees annual compliance questionnaires and new employee compliance questionnaires. You can also easily create due diligence questionnaires for vendors and service providers. This intuitive tool helps registered fund CCOs conduct quarterly and annual oversight of fund service providers.
Get compliance done quickly and efficiently so you can get back to helping clients
Compliance doesn’t drive your business forward, but it can hold you back. Instead of feeling behind and at risk, use technology to get out in front of your compliance activities.
Everything you need to manage compliance—all in one place
With Joot’s technology, you can more easily accomplish compliance tasks like these:
- Obtaining personal investment account statements from all employees
- Updating policies to keep up with business changes
- Testing policies on a prescribed schedule
- Securing signatures on compliance-related documents