monitect – Structured Compliance Workflows for RIAs and Broker-Dealers

Centralize Reviews, Recommendations, AML Activity, and Compliance Documentation into Audit-Ready Workflows

Compliance work is often spread across spreadsheets, email, CRMs, notes, legacy tools, and disconnected systems. Monitect brings these processes into one structured system so firms can track activity, document decisions, and produce audit-ready records.

Whether your firm manages suitability reviews, AML monitoring, or supervisory oversight, Monitect provides the structure and visibility compliance teams need to stay organized, demonstrate diligence, and respond confidently to regulatory inquiries.

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Who It's For

Registered Investment Advisers

Structure your compliance reviews, suitability documentation, and supervisory processes in a single platform designed for the way RIAs actually work.

Broker-Dealers

Manage AML monitoring, exception tracking, supervisory reviews, and compliance documentation with structured workflows and complete audit trails.

Compliance & Operations Teams

Replace fragmented processes with structured workflows that provide visibility into open items, review schedules, and documentation status across your firm.

Platform Modules

Suitability & Reviews

Track client suitability profiles, log recommendation rationale, manage review schedules, and generate audit-ready client records.

AML Monitoring

Manage AML workflows, alert tracking, case management, SAR reporting, and compliance documentation where AML monitoring is required.

Alert / Exception Management

Identify, assign, and resolve compliance exceptions and alerts with structured workflows, documented decisions, and clear accountability.

Audit Reports

Generate structured reports that document compliance activity, review history, and decision rationale — ready for regulators and internal audits.

Compliance Dashboard

See the status of reviews, open items, overdue tasks, and compliance activity across your firm in one centralized view.

Suitability & Reviews

Track client suitability profiles, log recommendation rationale, manage review schedules, and generate audit-ready client records.

Client suitability profiles
Recommendation logging with rationale
Review due dates and overdue tracking
Audit trail and snapshots
Client compliance reports

See the Suitability & Reviews Module

AML Monitoring

Continue using Monitect for AML workflows, alert tracking, and compliance documentation where AML monitoring is required.

Monitect's AML module provides structured alert management, case tracking, SAR reporting, and workflow tools — all with complete audit trails and documentation built in.

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Built from Real-World Compliance Experience

Monitect is built by a boutique software firm with experience delivering custom systems for approximately 30 clients, including broker-dealer environments. This product brings that practical compliance workflow experience into a focused platform for RIAs and broker-dealers.

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Ready to Structure Your Compliance Workflows?

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