Compliance documentation, simplified.
We're building the tools that help RIA firms spend less time on paperwork and more time with their clients.
Our Mission
RIA compliance officers live in fear of SEC exams. Every client meeting generates documentation anxiety. We're changing that.
The problem is simple: CCOs spend hours manually documenting client meetings. Even then, they're never quite sure their records are "exam ready."
Our solution: Upload a meeting recording, get a structured audit pack in under 10 minutes. Evidence-linked, version-controlled, and ready for examination.
We're not building AI that replaces compliance officers. We're building tools that make them faster, more consistent, and more confident. Human-in-the-loop, always.
What We Believe
Security First
We handle sensitive financial data. Security isn't a feature—it's our foundation.
Speed Matters
Compliance shouldn't slow you down. We're obsessed with making documentation fast.
Human-in-the-Loop
AI assists, humans decide. We believe in augmenting expertise, not replacing it.
Built for RIAs
We're not building generic software. Every feature is designed for the RIA compliance workflow.
The Team
Hamza Malik
Founder
Building COMPLY VAULT LTD to solve the compliance documentation problem for RIA firms. Previously worked on enterprise software and AI applications.
COMPLY VAULT LTD is a registered company in the UK (Company No. 16889706).
Ready to see it in action?
Book a demo and see how ComplyVault can transform your compliance workflow.
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