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Chief Compliance Officers
Extract Documents
Align Portfolio Risk
Digitize Books & Records
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Drowning in manual oversight
Your days are consumed by manual reviews, suitability documentation, and regulatory reporting. What should take minutes takes hours. You're buried in spreadsheets and email alerts instead of focusing on strategic risk management.
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Impossible expectations
Leadership demands faster growth and zero violations but won't invest in compliance infrastructure. Your team hasn't grown with the firm, yet you're expected to handle 4x the volume with the same manual processes.
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Compliance liability
Your firm faces millions in potential SEC fines from surveillance gaps and documentation deficiencies. Every violation discovery increases enforcement risk—and as CCO, you're personally accountable for these regulatory failures.
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SEC remediation pressure
The SEC has already identified gaps in your surveillance and documentation. You're under regulatory order to fix deficiencies within a specific timeframe, but demonstrating consistent systemic improvement remains a constant challenge.
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How Chief Compliance Officers Use Our Platform
Automated Surveillance
Strategic Focus
vs. Manual Reviews
You move from reactive violations to proactive prevention with AI surveillance.
- ComplianceIQ automatically detects share class violations, monitors position concentration in illiquid, less liquid and complex products, and tracks portfolio drift in real-time.
- RiskIQ ensures ongoing suitability alignment and provides documentation that justifies advisor fees through demonstrated relationship management.
- AI flags reverse churn patterns, trading activity, and cash concentration issues—you only review genuine exceptions requiring CCO judgment.
Proactive Supervision
Prevention
vs. Reaction
- PrismIQ provides multi-factor risk analysis demonstrating how structured products and alternatives contribute to portfolio protection for regulatory examinations.
- Real-time dashboards deliver examination-ready reporting across all accounts, advisors and teams.
- ModelIQ ensures investment strategies meet fiduciary standards with automated rationale documentation for buffer funds, alternatives, and tactical allocations.
Examination Readiness
Prepared
vs. Scrambling
- Structured suitability records include behavioral assessment histories and evolution tracking
- Provide evidence of ongoing client care and suitability monitoring evolution analysis and risk pattern identification.
- Centralized compliance documentation with automated organization and retrieval systems eliminates fragmented record-keeping
- Demonstrate systematic oversight to regulators through comprehensive surveillance documentation and proactive compliance management
Advisor Enablement
Partnership
vs. Obstacle
- RiskIQ is customized to match your advisor and team workflows—increasing platform adoption while ensuring ongoing suitability compliance.
- ScanIQ extracts KYC data from client documents automatically, ensuring complete suitability files without manual data entry
- InvestIQ generates professional proposals that include firm-specific disclosures and compliance documentation.
- PolicyIQ converts proposals into e-signed Investment Policy Statements instantly.
- ResearchIQ creates SEC marketing rule-compliant factsheets for your investment strategies with required disclosures and risk warnings
Strategic Business Impact
Value Creation
vs. Cost Center
- ComplianceIQ automated surveillance becomes your platform differentiator—attracting high-producing advisors from wirehouses
- RiskIQ sophisticated behavioral assessments demonstrate platform superiority over basic risk questionnaires that competitors offer.
- PolicyIQ seamless IPS workflows showcase the advanced capabilities that convince successful advisors to choose your platform over larger competitors.
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AI-powered
Key Products for Compliance Officers
Core Compliance Platform
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Without StratiFi
You're trapped in reactive compliance that prevents business growth:
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Manual monitoring overhead
Spending 80% of time on routine reviews instead of strategic compliance consulting
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Impossible scaling expectations
Expected to handle 4x volume with same team while leadership won't invest in infrastructure
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Massive compliance liability
Facing millions in potential SEC fines from surveillance gaps and documentation deficiencies
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SEC remediation pressure
Under regulatory orders to fix deficiencies but can't demonstrate systematic improvement
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Platform recruitment disadvantage
Can't attract high-producing advisors without enterprise-level compliance capabilities
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Result
You remain the "department of no" that limits business growth while working excessive hours on manual processes.
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With StratiFi
You become a strategic business partner who enables growth through regulatory excellence:
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AI-powered surveillance
Automated monitoring across complex products eliminates manual oversight burden
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Proactive violation prevention
Systematic surveillance prevents SEC fines before they occur, protecting firm revenue
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Examination-ready documentation
Structured records and behavioral tracking satisfy regulatory requirements automatically
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Advisor platform advantage
Sophisticated compliance infrastructure attracts high-producing advisors from wirehouses -
Strategic business transformation
Compliance becomes competitive differentiator rather than cost center constraint
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Result
You become the compliance officer who transforms regulatory overhead into competitive advantage - attracting top advisors while preventing violations through intelligent automation.
"StratiFi has been a game-changer for me. In the past, other platforms I’ve used were not realistic with risk tolerance. But with StratiFi, everything makes sense. I feel more comfortable and confident sitting down with clients."
"StratiFi was able to help me (1) create a better digital experience for clients and (2) monitor compliance across multiple advisors who are running different strategies.”
"We wanted a risk profiling partner that shares our passion for leveraging technology to create better outcomes. After a year of due diligence, the technology, culture, and team at StratiFi were the perfect fit.
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