Synchronize your firm’s data
Our platform uses enterprise-grade data architecture and search technology to calculate risk on every holding in every account daily. You can define acceptable ranges for each account based on your investment or risk objectives. With search and filter criteria, you can easily find any account or holding you need, allowing you to segment your entire book of business.
Spot compliance issues in minutes
Instantly pinpoint misalignment and empower advisors to take action. With Nitrogen Compliance, misaligned investment objectives, concentrated positions, and other compliance issues can become a thing of the past. It is easier than ever before for compliance teams and executives to identify misaligned accounts, dive into the holdings, and find solutions for issues without breaking a sweat. Now your team can spend less time finding problems and more time solving them.
Empower your team to take action
Our financial services compliance software helps protect your firm while empowering advisors to grow their books of business. With collaboration tools, you can easily review accounts and investment details, and keep accounts on track. Our platform helps your firm keep all accounts aligned, giving you a competitive edge while turning compliance into an opportunity to succeed.
a powerful tool for firms
The compliance solution that drives success
See how real wealth management firms turned compliance into an opportunity.
An unannounced audit turned into an unexpected referral with the help of Nitrogen's documented proof of best interest.
How the sole owner and operator of an RIA passed a thorough State Corporate Commission audit in one hour—without breaking a sweat.
Founders Financial Securities surpasses SEC Regulation, elevates compliance, and documents best interest at the highest level with Nitrogen at the core of its tech stack and client experience.
Compliance management features
Analyze every holding in your entire book of business at the account or household level.
Save time and reduce errors with daily updates driven by our data feeds.
See which accounts have inappropriate investments, concentrated positions, or are out of alignment with their target.
Easily segment every account in your business to single out one account or find thousands that fit your parameters.
Bring all of your data together in one place by syncing your firm’s account data across your tech stack.
Enhance transparency and collaboration on your team by giving supervisors the ability to review portfolios and flag accounts.
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See for yourself how the Nitrogen Growth Platform can help your firm win prospects faster, drive a personalized client experience at scale, attract and retain the best talent, increase firmwide efficiency, and turn compliance into an opportunity.
Put simply, financial services compliance is a set of rules that ensures the protection of investors and is critical to business operations for financial advisors and wealth management firms. The two major governing bodies for financial services compliance are FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission). Together, these organizations set out guidelines designed to protect investors and ensure fairness in the financial markets. Additionally, fiduciary duty is a high-level principle that financial advisors must adhere to. This means they are obligated to act in their clients’ best interests when it comes to managing investments.
Financial compliance software is a tool or suite of tools that can enable businesses to keep track of their operations, monitor activities, and ensure compliance with relevant laws, regulations, and industry standards.
Ensuring compliance with these standards can be complicated, but Nitrogen Compliance can help streamline the process of maintaining compliance and navigating ever-changing regulations and obligations. Financial advisors and firms can put clients first and focus on areas that have a real impact on business growth.
Financial compliance software is critical to helping wealth management firms and advisors protect their clients and their business. With the right financial compliance software, firms can streamline compliance processes, reduce the risk of non-compliance, meet their obligations under changing regulatory laws, and avoid costly penalties or legal action.
Nitrogen has more than 40 different integrations with the top industry technology providers. Learn more about the most popular Nitrogen integrations advisors are using today.
Yes, Nitrogen Compliance was once called Command Center. We’ve since changed the name as the tool is included in our Nitrogen Ultimate package. All of the benefits you may have heard about Command Center and more exist in Nitrogen Compliance.
Nitrogen Compliance is included in Nitrogen Ultimate–the firmwide alignment platform that drives a consistent client experience across all of your advisors. It’s recommended for teams of 10 or more advisors. Talk with our team today to adopt the world’s premier growth platform for your firm.