What we'd build · Financial Services
FinancialZoid
Compliance, audit, and exam-prep workspace for advisers and broker-dealers.
Open findings
4
2 high · 2 medium
Frameworks tracked
7
SEC · FINRA · IA Act · GLBA
Policy attestations
96%
3 staff outstanding
Days to next exam
147
SEC RIA cycle
Framework coverage
| Framework | Coverage | Trend | Last review |
|---|---|---|---|
| SEC IA Rule 206(4)-7 | 92% | ▲ | 2026-03-04 |
| FINRA Rule 3110 | 88% | ▲ | 2026-02-21 |
| GLBA Safeguards | 76% | → | 2026-01-12 |
| NYDFS 23 NYCRR 500 | 64% | ▲ | 2025-11-30 |
Open findings
Marketing review backlog — 6 social posts pending CCO sign-off High
Vendor due diligence stale — 2 sub-advisers past 12-month cycle High
Books & records retention — archive job missed last weekend Med
OFAC screening — 1 false-positive needs disposition Med
Drill into the underlying audit log next.
Continue to audit trail →
Audit trail · trade surveillance
15:42 · today
Suitability override · acct ****-7188
Adviser: Kira Lassiter · concentration >25% in single sector. Justified by client letter.
14:08 · today
Wire transfer flagged
$184,000 outbound · third-party · pending OFAC clear
11:55 · today
Email retention archived
2,318 messages · WORM-locked · 7-year hold
10:30 · today
Form ADV section update
Item 5.D regulatory AUM refreshed · CCO acknowledged
09:14 · today
Trade allocation cross-check
3 block trades · pro-rata variance <0.4% · within tolerance
Every entry is tamper-evident and exportable for SEC / FINRA exams.
Continue to risk matrix →
Enterprise risk matrix
Rare
Unlikely
Possible
Likely
Almost certain
Severe
Cyber breach
Major
Vendor lapse
Marketing slippage
Moderate
B&R retention
Minor
Form ADV typo
The risk taxonomy is wired to your policy library and exam-prep checklist.
Continue to exam prep →
SEC RIA exam window
147 d
Document request expected ~Aug 4
Items pre-staged
128
of 142 standard request
CCO confidence
88%
Tracked attestation
Exam request playbook · SEC IA
| Item | Owner | Source | Status |
|---|---|---|---|
| Code of Ethics · current version + sign-off | CCO | Policy library | Pre-staged |
| List of all advisory contracts in effect | Operations | CRM export | Pre-staged |
| Trade blotter · 24 trailing months | Trading | Surveillance | Pre-staged |
| Marketing materials · all distributed Q1 | CCO | Marketing review log | Drafting |
| Vendor due diligence files | Operations | Vendor module | 2 stale |
| Cyber incident response test results | CISO | IR archive | Q2 test pending |
When the exam letter arrives, response packets compile in minutes, not weeks.
Continue to vendor diligence →
Vendor due diligence · 18 active
| Vendor | Service | Tier | Last DD | SOC 2 | Status |
|---|---|---|---|---|---|
| Atlas Custody | Qualified custodian | Critical | 2026-02-14 | Type II · Mar 2026 | Current |
| Helix Trading | Order management | Critical | 2026-01-22 | Type II · Jan 2026 | Current |
| Sentinel Cyber | Endpoint detection | High | 2025-09-08 | Type II · Aug 2025 | Stale >180d |
| Cedar Research Tools | Sub-adviser research | High | 2025-07-18 | Pending | Past cycle |
| NorthStar Marketing | Content review · 5(b) | Standard | 2026-03-30 | — | Current |
Each vendor file links to the SOC 2, MSA, and the contract clauses you negotiated.
Continue to attestations →
Policy library
Code of Ethics · v2026.1 Current
Insider trading policy Current
BCP / disaster recovery plan Annual review due
Privacy policy (GLBA) Current
Best execution & trade allocation Current
Information security program Pending CCO sign
Workforce attestations · Q2
Completed 74 / 77
| Person | Items pending | Due |
|---|---|---|
| Marcus Thiel · Sr. Adviser | Code of Ethics, Insider trading | 2026-04-30 |
| Lia Rasmussen · Trader | Best execution attestation | 2026-04-30 |
| Devon Owens · Operations | Privacy policy | 2026-05-02 |
Reminders escalate automatically; the CCO never has to chase signatures.
This is a sample of what we'd build for a Financial Services business — hand-crafted UI with sample data, no real engine running. The actual app we'd ship for you uses your folders, your branding, and your domain. Schedule a walkthrough to see a tailored version.