RIA Compliance Software for SEC Exam-Ready Records

SEC examiners look for documentation that proves you provided suitable advice and followed your fiduciary duty. This includes: clear evidence of what was discussed, recommendations made, disclosures provided, client decisions, and follow-up actions. The documentation must be contemporaneous, accurate, and verifiable. Comply Vault creates structured records with direct evidence linking—every claim in your compliance note links back to the exact timestamp and transcript snippet where it occurred.

Yes. After the AI generates a draft compliance note, anyone in your workspace can review and edit it. You can add context, correct any extraction errors, or remove items that aren't relevant. All edits are tracked in version history. Once you're satisfied, a CCO or owner finalizes the record, which locks it from further editing and creates the official audit trail.

Comply Vault enforces role-based access control. Only users with the CCO or Owner role can finalize a compliance record. When a record is finalized, the system logs who approved it and when. This creates a clear supervision boundary—draft work is separated from officially approved records. All finalization actions are recorded in the audit trail.

You can export individual files or a complete audit pack. Available formats include: PDF (structured compliance note with all extracted items), CSV (evidence map linking claims to timestamps), CSV (version history showing all edits), TXT (full transcript with timestamps and speaker labels), and ZIP (bundle of all files). Each export includes metadata like who finalized the record and when. See our sample audit pack page to view an example export.

Yes. Comply Vault supports recordings from Zoom, Microsoft Teams, Google Meet, Webex, and any other platform that can export audio or video files. We accept MP3, MP4, WAV, and M4A formats up to 500MB. The system automatically transcribes with speaker separation, timestamps, and extracts compliance-relevant information.

Processing time depends on recording length, but most meetings are ready for review in 5-10 minutes. Transcription happens first (usually 1-2 minutes per hour of audio), then AI extraction takes another few minutes. Once the draft is ready, CCO review typically takes 5-10 minutes depending on meeting complexity. Total time from upload to finalized record is usually under 15 minutes.

We do not claim WORM compliance or SOC 2 certification unless explicitly stated. Comply Vault provides audit trail logging, evidence linking, role-based approvals, and exportable audit packs.

AI extraction is not perfect, which is why we require human review before finalization. Every extracted item includes a link to the exact transcript moment where it was found, so you can verify accuracy. If the AI missed something or extracted incorrectly, you can edit the draft before finalizing. The evidence map ensures you can always trace back to the source recording.

Yes. Comply Vault is designed to support ongoing books-and-records obligations, including annual reviews. Once records are finalized, they're stored in a searchable archive with full audit trails. You can export compliance reports, review version histories, and demonstrate your supervision process to examiners. The system maintains metadata on all records, making it easy to pull documentation for specific time periods or clients.

No. Comply Vault is a documentation tool, not a compliance advisory service. We help you create structured, evidence-linked records with complete audit trails, but we do not make compliance determinations or provide legal advice. You and your CCO are responsible for ensuring your documentation meets your firm's regulatory requirements. Always consult with your compliance counsel for specific regulatory questions.