Joot Revolutionizes Compliance

RIA compliance can be repetitive and time consuming—so we built a technology platform to simplify these tasks and make your work more fulfilling.

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Auto-generated Policy Manual customized for your firm

Policies and procedures are the foundation of a compliance program. Compliance risk immediately goes up when policies don't keep up with business changes. Joot's platform can automatically flag missing or outdated policies to help you keep compliance in sync.

Test this feature today with our policies search tool. Instantly generate a detailed list of recommended policies based on your latest Form ADV.

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Joot Policy Manual Feature

Joot Documents Feature

Send, sign, and store compliance program documentation with Joot Documents

Everything of importance to a compliance program—policies, signatures, test results, attestations, forms, and more—all in one place. Joot provides a central repository to send, sign, and store all compliance documentation, keeping your compliance activities organized and on track.

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Efficiently manage time spent on compliance with Joot's Compliance Calendar

Joot's platform auto-populates dates and tasks from other compliance modules to help you keep your compliance activities on track. Stay up to date with the status of your important compliance dates—and never fall behind on your compliance needs.

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Joot Calendar Feature

Personal Trading Manager

Trading review made easy with Joot's Personal Trading Manager

The periodic review of advisers' personal trading accounts is one of the most time-consuming activities for a chief compliance officer. With Joot's platform you can dramatically simplify these tasks by collecting account activity and presenting data in an easy-to-review report.

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Everything you need to manage compliance—all in one place

With Joot’s platform, 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

Get in touch to learn more about Joot's compliance platform

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