Compliance Training Management
Start with 10 pre-built compliance training modules or upload your own. Assign, track, and certify training across your entire firm — from annual compliance reviews to custom firm-specific content, all from a single dashboard.
Unlimited
Modules
Role-based
Assignments
Built-in
Completion Tracking
Training Gaps Are Among the Top Exam Findings
Regulators consistently cite inadequate training programs as a deficiency.
SEC and FINRA examiners expect firms to demonstrate that employees received relevant, timely compliance training and that the firm can prove it. Calendar reminders and shared drives are not sufficient. You need a system that assigns, tracks, and documents every training interaction.
How It Works
From content creation to certified completion
Build Training Modules
Create training content directly in the platform. Upload documents, define learning objectives, and structure modules for your team.
Assign by Role or Team
Target training to specific roles, departments, or individuals, and set due dates and a passing score.
Track Progress
Monitor completion rates across the firm. Automated reminders notify overdue employees before deadlines pass.
Quizzes & Certificates
Employees take a quiz tailored to their SEC or FINRA registration and earn a timestamped completion certificate when they pass.
Key Capabilities
Complete training lifecycle management
10 pre-built compliance training modules
Custom training upload (PDF, DOCX, video)
Progress tracking dashboards
Timestamped completion certificates (earned by passing the quiz)
Role-based training assignment and scheduling
Registration-aware quizzes (SEC, FINRA, or dual)
Automated reminders for overdue training
Training history and exam-ready reports
Regulations Covered
Meet training obligations across regulatory frameworks
10 Pre-Built Training Modules
Ready-to-deploy compliance training written by experienced CCOs
Annual Compliance Review
Rule 206(4)-7
SEC Marketing Rule
Rule 206(4)-1
Cybersecurity & Reg S-P
Amended Reg S-P
AML/BSA Compliance
Bank Secrecy Act
Regulation Best Interest
Reg BI
Code of Ethics & Personal Trading
Rule 204A-1
Books & Records
Rule 204-2
Business Continuity Planning
FINRA 4370
Privacy & Customer Information
Reg S-P / GLB
Insider Trading Prevention
Section 204A
Every module includes learning objectives, real regulatory content, and a quiz tailored to your SEC or FINRA registration.
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.