Best Compliance Software for Freelancers - Page 83

RIA in a Box serves as a robust, all-encompassing compliance management solution specifically designed for Registered Investment Advisers (RIAs) to efficiently manage and monitor their regulatory responsibilities under both SEC and state laws. This platform integrates crucial compliance processes into a single, user-friendly interface, featuring a customizable compliance calendar and log that comes pre-filled with best practice recommendations. Additionally, it automates the registration and filing processes, including the preparation of essential documents such as Form ADVs and Codes of Ethics. The platform also provides extensive archiving of communications across various channels like email, social media, and websites, equipped with advanced filtering and review capabilities. Moreover, it supports a guided annual review process that complies with SEC Rule 206(4)-7, incorporates structured risk assessments linked to compliance policies, and offers oversight tools for monitoring employee activities, which include trading, outside business activities, and attestations. Furthermore, it includes a built-in cybersecurity compliance feature grounded in the NIST framework, ensuring that vendor due diligence is comprehensively addressed. This all-in-one solution empowers RIAs to maintain compliance more effectively than ever before.

RegMind revolutionizes compliance by providing financial institutions with automated insights into ever-changing regulations. The platform aggregates a vast library of directives, guidelines, and laws at global, European, and national levels, updating daily to ensure accuracy. With its unique automatic comparison feature, compliance officers can instantly detect modifications and monitor how rules evolve until enforcement. RegMind enhances regulatory analysis by linking related documents, Q&As, and parliamentary debates, giving users valuable context around each text. Custom watchlists, real-time alerts, and a 360° mapping view help organizations visualize the ripple effects of regulatory change. Collaboration is simple thanks to shared folders and Microsoft Teams integration, allowing compliance teams to work more effectively. The Smart Sanctions Analyser® strengthens oversight with tools to search, compare, and analyze regulatory sanctions through advanced statistics and thematic filtering. Born from research at École des Mines de Paris in collaboration with Natixis, RegMind combines academic rigor with practical innovation for financial compliance.

RiskStar is a specialized software solution tailored for risk pools and state risk managers, aimed at efficiently managing property risks and exposures through its adaptable, modular features. This platform offers essential tools for precise property valuation, incorporating customized models for estimating replacement costs, alongside robust data management and underwriting support. Crafted with contributions from experts in property appraisal and risk management, RiskStar enables organizations to effectively generate and benchmark property values, maintain up-to-date replacement cost estimates annually, oversee licensed vehicles and insurance policies, and catalogue fixed assets. By providing actionable insights derived from comprehensive data, it enhances member engagement through technology, assists in fulfilling underwriting criteria amid evolving market dynamics, and is specifically designed to cater to the unique needs of risk pools, ensuring they operate effectively in a complex environment. Furthermore, RiskStar’s user-friendly interface and scalable options make it suitable for organizations of various sizes, allowing them to adapt their risk management strategies as needed.

AiPrise is a comprehensive platform designed for compliance and identity verification, allowing businesses to seamlessly onboard individuals and organizations across the globe via a single API and tailored workflows. The platform enhances Know Your Customer (KYC) and Know Your Business (KYB) processes by connecting with a variety of identity vendors, registry databases, and compliance resources. Key features include streamlined one-click KYC using an ID and selfie, global support for local identity documents, advanced fraud detection through email, phone, and device analysis, as well as ongoing risk assessment and monitoring. On the business verification front, AiPrise can authenticate business registration information, confirm ultimate beneficial ownership and stakeholder identities, and evaluate websites and social media presence to create comprehensive business profiles, while a customizable rule engine identifies potential risks. Additionally, AiPrise provides a robust case management dashboard equipped with audit trails, decision-making tools, alert notifications, and options for report generation. To enhance the efficiency of compliance processes, AiPrise integrates AI technology, ensuring that companies can navigate complex regulatory landscapes with ease. This innovative approach empowers organizations to maintain high standards of compliance and security in an ever-evolving business environment.

Zania delivers autonomous AI agents specifically designed for governance, risk management, and compliance, enabling organizations to perform intricate tasks with exceptional precision, which allows for the automation of assessments, control tests, vendor questionnaires, evidence gathering, policy revisions, and comprehensive workflow management. The platform provides ongoing risk monitoring in both first- and third-party settings, analyzes extensive security and audit information, identifies vulnerabilities with actionable solutions, and adheres to prominent frameworks including PCI, ISO 27001, SOC 2, and NIST CSF. With a focus on enterprise-level security, Zania employs private models (ensuring customer data remains untrained by default), assures compliance with SOC 2 Type 2 standards, supports SSO/SAML integrations, and facilitates data residency controls. Furthermore, its autonomous workflows empower users to issue commands in natural language, such as "locate employees with overdue security tickets and send them reminders via Slack," with Zania managing the entire process from initial identification to final escalation seamlessly. As a result, organizations can enhance their operational efficiency while significantly reducing the manual workload associated with compliance and risk management tasks.

EagleEye is a comprehensive solution designed for real-time detection and monitoring of threats within cloud environments, ensuring constant surveillance of an organization’s cloud systems while pinpointing unusual activities and initiating automated response protocols. Leveraging serverless technologies like AWS Lambda, Amazon EventBridge, and Amazon SQS, it effectively captures and analyzes cloud-trail logs from various services, including S3 and IAM, to identify policy violations or unauthorized modifications, subsequently notifying relevant teams or executing corrective measures. This platform seamlessly integrates with Cloudnosys's extensive cloud-security and compliance features, enhancing visibility, governance, and automation for remediation across multiple cloud accounts. EagleEye offers ongoing monitoring of cloud resource configurations, identity and access events, as well as changes to networks and storage, generating alerts that can be easily connected to external tools such as Slack, email, or SOAR workflows to facilitate swift incident responses. As a result, organizations can maintain a robust security posture while efficiently managing their cloud environments.

Koop is an innovative platform that utilizes artificial intelligence to unify compliance, security, and insurance processes into one streamlined system tailored for tech-focused organizations. It accommodates prominent frameworks such as SOC 2, ISO 27001, HIPAA, and GDPR, providing expertly crafted policy templates, seamless integrations with over 200 different systems, and comprehensive audits conducted by vetted auditors based in the U.S. Users benefit from the ability to oversee contractual obligations, which includes extracting requirements, managing evidence, and tracking the status of counterparties. Additionally, Koop automates workflows related to third-party risks, encompassing vendor onboarding, outbound requirements, and trust monitoring, while also simplifying the management of security questionnaire responses, such as VSA, SIG, and CAIQ, through both standardized and customizable formats. On the insurance front, Koop facilitates the acquisition of essential coverage options, including general liability, cyber liability, technology errors & omissions, and management liability, ensuring that compliance efforts are integrated into the risk management framework to assist in securing advantageous insurance conditions. This comprehensive approach not only streamlines processes but also enhances the overall efficiency of tech companies navigating the complexities of compliance and risk management.

Kopexa is an innovative European Governance, Risk, and Compliance (GRC) platform designed specifically for small to medium-sized enterprises seeking to navigate compliance efficiently, avoiding the high costs of consultants and the hassle of managing numerous spreadsheets. It consolidates various compliance elements into a single, user-friendly platform that encompasses a range of frameworks including ISO 27001, TISAX, GDPR, NIS 2, DORA, and BSI IT-Grundschutz. Users can identify and monitor risks, establish mitigation strategies, and assess residual risks within the platform. Additionally, it allows for effective document management, enabling users to handle and authenticate documents with features like versioning and status tracking (draft, review, approved, published). The platform also offers asset management capabilities, allowing for the classification and retention of IT, data, human, and service assets. Users benefit from automated compliance checks that verify adherence to framework controls seamlessly. With AI-driven guidance, Kopexa provides tailored recommendations for the most effective next steps to enhance compliance processes. Furthermore, Kopexa's integration with tools like Microsoft 365, Azure AD, GitHub, and Slack enhances automation throughout compliance workflows, making it an indispensable resource for businesses aiming for streamlined compliance management.

Teleskope is an innovative platform for data protection that aims to streamline the processes of data security, privacy, and compliance on a large scale within enterprises. It works by consistently discovering and cataloging data from a variety of sources, including cloud services, SaaS applications, structured datasets, and unstructured information, while accurately classifying more than 150 types of entities such as personally identifiable information (PII), protected health information (PHI), payment card industry data (PCI), and secrets with remarkable precision and efficiency. After identifying sensitive data, Teleskope facilitates automated remediation processes, which include redaction, masking, encryption, deletion, and access adjustments, all while seamlessly integrating into developer workflows through its API-first approach and offering deployment options as SaaS, managed services, or self-hosted solutions. Furthermore, the platform incorporates preventative measures, integrating within software development life cycle (SDLC) pipelines to prevent sensitive data from being introduced into production environments, ensure safe adoption of AI technologies without utilizing unverified sensitive information, manage data subject rights requests (DSARs), and align its findings with regulatory standards such as GDPR, CPRA, PCI-DSS, ISO, NIST, and CIS. This comprehensive approach to data protection not only enhances security but also fosters a culture of compliance and accountability within organizations.

Brellium is an advanced clinical compliance platform driven by AI that conducts audits on clinical documentation, billing, and payor risk for each patient visit. Its main features consist of real-time chart reviews powered by machine learning, which meticulously analyze every note, session, and encounter to ensure adherence to coding standards (MDM/E/M/ICD-10), clinical quality benchmarks, payor regulations, and the integrity of documentation, achieving audits up to 13 times quicker and slashing chart-review expenses by nearly 98%. The platform seamlessly integrates with any electronic medical record (EMR) system, accommodates both custom and standard audit criteria, and automatically dispatches feedback emails to providers while offering trend-data dashboards that rank clinicians according to the quality of their documentation. Additionally, Brellium provides a distinctive clawback-protection guarantee: in the event that a payor withdraws reimbursement for a chart approved by Brellium, the company will cover the associated costs. The platform is tailored to serve various specialties, including behavioral health, applied behavior analysis (ABA), home health care, chronic-care management, and telehealth services. With its comprehensive features and protective measures, Brellium stands out as a crucial tool for ensuring compliance and efficiency in clinical settings.

KYC360 is a comprehensive client lifecycle management (CLM) platform that streamlines the processes of onboarding, screening, ongoing monitoring, and remediation specifically for regulated industries. Its fully customizable, no-code workflows enable unlimited risk-based onboarding experiences, along with various verification methods, including document and eID&V options. The platform is seamlessly integrated with top global data providers such as Dow Jones, Refinitiv, and LexisNexis, and features headless APIs and pre-built connectors for easy integration into existing infrastructures, ensuring quick deployment and a strong return on investment. With a modular design encompassing onboarding, continuous screening, pKYC, and remediation, organizations can select and pay for only the functionalities they require. Hosting options on Azure or AWS come with full EU data residency and ISO 27001 security standards, allowing businesses to enhance compliance while elevating customer experiences and minimizing operational risks. Moreover, KYC360’s automated straight-through processing significantly optimizes efficiency, ultimately reducing the time and resources needed for compliance activities. This approach not only improves operational effectiveness but also fosters a more agile response to regulatory changes.

Scila has developed a sophisticated ecosystem of surveillance and risk management solutions tailored for various trading environments and asset classes, providing real-time analytics that can handle high volumes of data while maintaining a flexible architecture to adapt to ongoing regulatory and market shifts. Their leading products, Scila Surveillance and Scila Risk, effectively detect market abuse and suspicious activities across a wide range of assets, including equities, derivatives, FX, commodities, fixed income, and digital currencies, supported by customizable alert systems and data analytics that ensure a smooth transition from detection to evidence gathering. By transforming compliance into a strategic asset, Scila Surveillance allows for customized and nimble surveillance technology that scales in real-time, offers comprehensive coverage across multiple asset classes, utilizes AI for alert generation, and includes specialized workflows for investigation and case management. This innovative approach not only enhances compliance but also empowers firms to stay ahead in a rapidly evolving financial landscape.

iCoRisk serves as an innovative accelerator for managing corporate risks, leveraging the Microsoft Power Platform to allow organizations to oversee, reduce, and handle various types of risks—including project, operational, and corporate—within a single, cohesive system. The platform features customizable risk scoring models that accommodate pre-, post-, and target-risk assessments, while also integrating risks with corresponding controls and mitigation strategies, and automating processes like notifications, email alerts, and approval workflows. Users can effectively map risks to different divisions, connect project-related risks with routine business risks, and access real-time, dynamic dashboards and reports powered by Power BI, providing stakeholders with a clear view of risk registers and ongoing mitigation efforts. Additionally, as a component of Microsoft 365 and the Power Platform, iCoRisk ensures seamless integration with Azure, Teams, and various third-party applications, which facilitates collaboration and embeds risk management activities into everyday business functions, thus enhancing overall operational efficiency. This holistic approach not only streamlines risk management but also empowers organizations to respond to challenges proactively and efficiently.

Naq serves as a comprehensive compliance solution that streamlines, oversees, and enhances an organization's compliance program across more than 20 frameworks. This platform autonomously creates vital policies, outlines necessary actions, and develops training initiatives to fulfill regulatory requirements, while also facilitating both automated and personalized risk assessments, allowing for the delegation of risks to team members, and monitoring the resolution and mitigation of those risks. Users benefit from an immediate overview of their compliance posture via dashboards that integrate various frameworks into a single user-friendly interface, making it easy for organizations to expand as they grow. With an extensive range of over 300 integrations, Naq adeptly gathers and tracks evidence from diverse systems, ensuring comprehensive compliance management. It encompasses key standards including ISO 27001, ISO 9001, GDPR, Cyber Essentials, NHS DSPT, and NHS DTAC, providing essential guidance for organizations in industries such as healthcare, defense, finance, and both business-to-enterprise and business-to-government sectors. This robust platform not only simplifies compliance processes but also empowers organizations to maintain a proactive stance in their compliance efforts.

Pixaera provides an engaging, game-oriented learning platform tailored for training employees and ensuring safety preparedness in the workplace. It allows frontline workers to engage in highly realistic, narrative-based simulations through virtual reality, desktop, or hybrid formats, enabling them to "learn by doing" instead of merely observing. The platform's extensive library encompasses various scenarios, including tasks at heights, hot work, confined spaces, lifting and rigging, and road safety, allowing users to choose specific modules or customize content to suit their operational needs. Moreover, it offers analytics on workforce proficiency, assisting organizations in tracking individual and team preparedness, identifying skill deficiencies, and standardizing training practices across different locations. By minimizing redundant training efforts, Pixaera encourages uniform safety protocols and seeks to cultivate a cohesive safety culture, transforming traditional training methods into immersive experiences that enhance knowledge retention and practical application. This innovative approach not only improves employee engagement but also significantly boosts overall safety performance in the workplace.

Flinn serves as an AI-powered platform designed to enhance and simplify the regulatory and quality management tasks within the medical device (MedTech) sector. By allowing manufacturers to incorporate artificial intelligence into intricate and repetitive processes such as post-market surveillance, literature reviews, complaint management, and safety database monitoring, it significantly lessens the manual workload and helps ensure adherence to regulations like the EU Medical Device Regulation (MDR). The platform consolidates information from various sources, utilizes machine learning techniques to identify trends and potential risks, automatically produces reports that meet regulatory standards, and facilitates the swift introduction and operation of high-quality products on a larger scale. Consequently, organizations can realize up to a tenfold increase in process efficiency while also preserving the auditability, transparency, and traceability of their compliance procedures. This innovative approach not only streamlines operations but also empowers companies to focus on innovation and quality in their product offerings.

Complyance is an innovative GRC platform powered by artificial intelligence, aimed at helping enterprise teams streamline, automate, and oversee their compliance, risk management, vendor relationships, and policy responsibilities. The system is modular, featuring both ready-to-use and customizable controls, a comprehensive vendor management suite, risk registers, and a dedicated policy center. With numerous integrations available for existing enterprise systems, Complyance facilitates the automatic collection and mapping of evidence, enables ongoing monitoring of controls and vendor risks, and ensures your compliance status is always audit-ready. The platform's AI capabilities, which include optional specialized AI Agents, can draft policy documents automatically, cross-reference evidence with controls, evaluate vendor risks, generate responses to client questionnaires, and identify compliance gaps, thereby reducing manual tasks by as much as 70–90%. Additionally, the AI is designed with privacy in mind, providing each client with a separate instance while ensuring that no data contributes to training shared models. This commitment to confidentiality makes Complyance an attractive option for organizations seeking to enhance their compliance efforts while maintaining data integrity.

OneClickComply serves as a comprehensive platform for cybersecurity compliance, streamlining the entire compliance process from the deployment of technical controls to ongoing monitoring, audit preparation, and the generation of necessary policies and documents. It accommodates prominent compliance frameworks, including SOC 2 Type II, ISO/IEC 27001:2022, Cyber Essentials (and Plus), as well as CIS Controls v8. With its innovative one-click feature, it identifies and resolves configuration problems across a vast array of technical controls, ensuring compliance with minimal manual intervention. Once set up, OneClickComply provides round-the-clock surveillance of your systems, promptly identifying or correcting deviations to reduce audit risks and maintain continuous compliance. Additionally, it includes a variety of functionalities such as automated IT and security policy creation through its “AutoComplete Policies” module, vendor risk management capabilities, vulnerability assessments, penetration testing, asset management, and systematic evidence gathering to further enhance your security posture. This multifaceted approach not only simplifies compliance but also strengthens overall cybersecurity resilience.

Vixio is a comprehensive platform designed for regulatory intelligence that empowers compliance and legal teams with real-time oversight and management of evolving rules across over 200 jurisdictions and 1,400 regulatory bodies. By integrating expert human insight with AI-enhanced features, the platform offers tools such as horizon scanning, a regulatory library, a global data hub, market evaluations, and a customizable report generator to effectively track legislative and regulatory changes, assess regional requirements, and identify governance risks. In 2025, Vixio introduced Vixio Workspace, an innovative workflow and compliance-management tool that connects regulatory change insights to actionable tasks; this enables compliance teams to develop checklists, delegate responsibilities, collaborate seamlessly, monitor progress through dashboards, manage attestation records, upload supporting documentation, and maintain a comprehensive audit trail, thereby eliminating the need for disorganized spreadsheets and emails. This enhancement further streamlines compliance processes, allowing teams to work more efficiently and with greater accuracy in managing their regulatory obligations.

Greenboard is an innovative, cloud-based platform that harnesses AI to serve as a comprehensive operating system for regulatory compliance tailored to the requirements of financial firms governed by the SEC and FINRA. By merging various often-disparate tools into a cohesive dashboard, it efficiently manages essential functions such as archiving, supervision of communications, compliance workflows at both the firm and employee levels, vendor compliance, marketing content assessments, trade testing, and meticulous record-keeping that is audit-ready. Utilizing its proprietary “Greenboard Go” AI engine, which seamlessly integrates with all data within the firm, it proactively identifies risks, highlights compliance discrepancies, and aids in maintaining uniform internal policies. The platform's user interface and underlying architecture prioritize both usability and security, incorporating role-based access controls, robust data infrastructure, and adherence to SOC2-Type 2 standards to protect data privacy and ensure compliance with regulatory requirements. Furthermore, this comprehensive approach not only streamlines operations but also fortifies the organization’s defenses against potential compliance violations.

Secure Forte is a comprehensive platform designed for managing cyber supply chain risks, enabling organizations to effectively address cybersecurity, data privacy, compliance, and ESG (environmental/social/governance) challenges throughout their entire supply chain, from upstream clients to internal processes and even down to third- and fourth-party suppliers. The platform's “Forte Vendor Risk Management” module allows users to identify, categorize, evaluate, and continuously oversee risks associated with suppliers and partners; it offers the ability to distribute assessment questionnaires, customize them as needed, gather supplier feedback, validate evidence for high-risk vendors, and produce in-depth assessment reports, management dashboards, and issue-tracking systems. Unlike traditional one-off audits, Secure Forte provides real-time monitoring of threat intelligence, dark web exposure, fluctuations in credit scores, ESG ratings, and various other risk factors, ensuring that organizations remain aware of changing vulnerabilities within their supplier network. This proactive approach not only enhances security measures but also fosters stronger relationships with suppliers through improved transparency and communication.

Vatix is a comprehensive management platform for health, safety, environment, and risk (EHS) that consolidates various functions such as safety compliance, incident reporting, audits, inspections, risk evaluations, document control, and lone worker safety into a unified system, effectively eliminating the need for disparate tools and paperwork. Employees can easily report incidents instantly through mobile devices, web applications, or QR codes, utilizing customizable forms and processes, while the platform ensures that corrective measures are tracked with complete transparency and thorough audit trails that facilitate compliance and ongoing enhancement. By offering adaptable modules, Vatix integrates safety, risk, and operational data from multiple locations, assets, and personnel, providing organizations with a singular, reliable source of truth and a comprehensive overview of their performance. Among its features are organized incident reporting, personalized templates for audits and inspections, AI-powered tools for document generation and management, digital risk registers that connect with incidents, and specialized solutions for lone workers that include real-time monitoring and emergency response capabilities. This innovative approach not only streamlines processes but also enhances overall safety and efficiency within organizations.

SOCLY.io is an innovative compliance automation solution that assists organizations in efficiently managing intricate regulatory and security demands by consolidating evidence, documentation, and tasks into a single platform, which minimizes manual labor and reduces the chances of errors while enhancing both audit preparedness and operational productivity. It accommodates leading frameworks like SOC 2, ISO 27001, and GDPR, automating processes such as risk assessments, compliance monitoring, and audit workflows, while offering ready-made policy templates and real-time tracking features that enable teams to remain compliant without hindering their everyday activities. Furthermore, SOCLY.io seamlessly connects with existing tools and systems to automatically gather evidence, streamlining the creation of policies and centralizing compliance documentation, ultimately accelerating the compliance process by weeks or even months compared to conventional methods. This comprehensive approach not only simplifies compliance management but also empowers organizations to focus on their core operations with confidence, knowing that they are meeting regulatory demands effectively.

Unwritten 360 serves as a comprehensive climate risk platform designed to assist organizations in comprehending and navigating various climate-related challenges, including physical, transition, and nature risks, through user-friendly scenario analyses and extensive real-world data. This platform empowers users to identify risks, utilize AI-enhanced templates that conform to both investor and regulatory requirements for reporting, and implement strategic actions backed by well-researched recommendations that foster stakeholder collaboration and enhance competitive positioning. It delivers thorough climate risk assessments that encompass high-resolution global data on physical risks, detailed transition risk evaluations that go beyond basic carbon pricing, and an analysis of nature-related risks such as biodiversity loss, deforestation, and water scarcity, all presented with clear financial implications and loss projections for specific assets. Additionally, users can optimize their climate risk reporting processes with streamlined workflows that align with key disclosure standards, produce advanced outputs with minimal data input, and continuously monitor real-time risks throughout their supply chains, ensuring they remain proactive in the face of evolving challenges. By leveraging these capabilities, organizations can significantly improve their resilience against climate-related disruptions while also fostering a culture of sustainability.

VendorInsight is a celebrated online software solution for vendor risk management tailored specifically for banks, financial institutions, and credit unions. It delivers a wide range of robust tools and automates workflows, thereby enhancing the efficiency of your vendor management processes and reinforcing your vendor management strategies. Additionally, the platform features a searchable archive and a vendor exchange portal, along with capabilities for managing forms, documents, and checklists, ensuring a streamlined experience for users. This comprehensive approach not only improves operational efficiency but also mitigates potential risks associated with vendor relationships.