Compliance & Risk Solutions: Tackling Today’s Regulatory and Security Pressures

The Growing Compliance Burden

In financial services, compliance and risk management aren’t just checkboxes — they’re the foundation of trust. RIAs and broker-dealers face:

• Constantly evolving regulations from the SEC, FINRA, and state agencies.

• Mounting cybersecurity threats targeting sensitive client data.

• Operational risks from manual processes and siloed systems.

• Rising costs of non-compliance, including fines and reputational damage.

Leaders know that staying compliant isn’t just about avoiding penalties — it’s about creating a culture of accountability and confidence for clients.

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Technology as the Safety Net

The good news is that the right technology can ease these pressures. Modern compliance and risk solutions:

• Automate reporting and reduce manual workload.

• Secure data across the entire advisor–client lifecycle.

• Provide real-time monitoring and risk intelligence.

• Scale compliance processes as firms grow.

That’s why we’ve curated a set of trusted partners in the FinServ Hub™ Compliance & Risk Solutions Collection — companies who understand the unique pressures RIAs, BDs, and financial institutions face.

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Featured Solution Providers

🔐 H2CYBER

Specialists in cybersecurity strategies tailored to RIAs, BDs, and BGA ecosystems. With deep insider knowledge, H2CYBER helps firms identify and mitigate risks before they become breaches.

🌿 Sycamore

A modern back-office technology platform for broker-dealers and RIAs, built on Salesforce. Sycamore integrates compliance, operations, and reporting into a unified system.

📣 FMG Suite

The leading marketing tech platform for financial advisors, FMG Suite ensures that digital communications across web, email, and social stay compliant while boosting engagement.

🌍 FIS Global

A global powerhouse in risk and compliance solutions, FIS supports asset management, payments, and regulatory reporting at enterprise scale, serving more than 20,000 clients.

🛡️ Buckler

A Cybersecurity Policy Management System designed for regulated enterprises and agencies. Buckler simplifies policy alignment across multiple regulations, reducing risk and compliance complexity.

✅ RIA Compliance Technology

Purpose-built for the RIA and BD industry by compliance officers. Their consolidated compliance portal streamlines approvals, documentation, and archiving of daily regulatory tasks.

📄 MyDocSafe

A secure, digital-first platform for client onboarding and document workflows. MyDocSafe cuts costs and errors by replacing email-based document collection with secure, end-to-end automation.

✨ Orion Advisor Solutions

A leader in advisor technology, Orion offers compliance-integrated wealth platforms that empower fiduciary-minded advisors to deliver personalized, regulation-aligned client experiences.

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Why These Solutions Matter

Each of these providers addresses a unique piece of the compliance and risk puzzle:

• Data Security → H2CYBER, Buckler, MyDocSafe

• Operational Compliance → Sycamore, RIA Compliance Technology, FIS Global

• Marketing Oversight → FMG Suite

• End-to-End Advisor Tech → Orion Advisor Solutions

Together, they help firms build a compliance framework that is not only resilient but also client-centric.

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Move Forward with Confidence

Compliance and risk management don’t have to hold your firm back. With the right partners, you can stay ahead of regulators, protect client trust, and free your team to focus on growth.

Explore the full Compliance & Risk Solutions Collection in the FinServ Hub™ to compare providers, view case studies, and connect directly with solution experts.