Built by Compliance Professionals, for Compliance Professionals
Compliance Approved was born from a simple frustration: the tools available to compliance teams didn't match the complexity or importance of the work they do.
Why We Built This
Compliance Approved was built by people who have done this work firsthand. Not former compliance people who moved into tech years ago — professionals with direct CCO experience managing compliance programs for RIA firms, building the tools that make that work better.
The frustration was real: tracking regulatory deadlines in spreadsheets, reviewing marketing materials through endless email chains, scrambling to prepare for state examinations using fragmented systems — and paying $28,000+ per year for software that still left gaps. The tools on the market were either overpriced enterprise systems designed for wirehouses, or basic software that couldn't handle the complexity of real compliance work.
We built Compliance Approved to be the platform we wished existed — purpose-built for compliance professionals, with AI that augments your judgment rather than replacing it, state-level regulatory coverage that competitors ignore, and pricing that doesn't punish you for growing.
Because our team has hands-on compliance experience, we also offer consulting services — from hourly guidance to fractional CCO arrangements. We don't just sell software and walk away. We do the work alongside you.
Our Mission
To democratize compliance technology so that every financial services firm — regardless of size — can maintain a best-in-class compliance program.
Our Values
These principles guide every decision we make as a company.
Compliance First
Every product decision starts with the question: does this make compliance professionals' lives easier and their firms more protected?
Practical Innovation
We build technology that solves real problems, not features that look good in demos but gather dust in production.
Empathy for the CCO
We've sat in the CCO chair. We understand the pressure, the isolation, and the weight of protecting a firm and its clients.
Partnership Over Sales
We measure success by our clients' compliance outcomes, not by contract size. Your regulatory health is our north star.
Responsible AI
AI should augment compliance professionals, not replace them. Our AI tools are transparent, explainable, and always keep humans in the loop.
Continuous Improvement
Regulations evolve, and so do we. We stay ahead of rulemaking to ensure our platform reflects the latest requirements.
What Sets Us Apart
We bring together the disciplines that matter most for building great compliance technology.
Built by Compliance Professionals
Our team brings direct CCO experience managing RIA compliance programs — not engineers guessing what you need.
Software + Services
We offer both the platform and hands-on compliance consulting. Hourly guidance, fractional CCO services, and project-based engagements.
Modern AI Technology
Purpose-built on a modern tech stack with AI at the core — pre-screening marketing materials, flagging regulatory issues, and citing specific rules.
Built for Consultants Too
Compliance consultants and fractional CCOs use our platform to manage multiple client firms from a single dashboard — and we built it that way on purpose.
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