Quarterly attestations, political contributions, OBA submissions, code of ethics acknowledgments — triggered automatically, tracked completely, ready for examination.
No-code builder · Full audit trail · SOC 2 Type II · Examination-ready
Most RIAs track compliance workflows manually — spreadsheets for attestation deadlines, email reminders for political contributions, shared drives for OBA submissions. When an examiner asks for proof, someone scrambles to assemble it.
Milemarker Relay automates the entire lifecycle. Compliance events trigger workflows automatically. Every action is logged. Every deadline is tracked. Every audit trail is complete — before anyone asks for it.
These are the workflows CCOs and compliance teams automate first with Milemarker Relay.
Personal securities disclosures triggered automatically each quarter. Submissions tracked, reminders sent to non-respondents, completion logged for examination.
Pre-clearance requests routed to compliance, contributions logged against pay-to-play rules, automatic lookback reports generated for review.
OBA submissions routed for approval, tracked against firm policy, flagged when renewals are due. No more chasing paper forms.
Annual code of ethics distributed, acknowledgments tracked, non-respondents escalated automatically. Complete records for every employee, every year.
Threshold-based triggers detect drift, create review tasks, notify portfolio managers, and log the compliance event — the moment it happens.
When a holding hits the restricted list, affected advisors are notified immediately. Trading restrictions enforced, exceptions logged, CCO alerted.
Automate attestations, track contributions, and build examination-ready audit trails — without spreadsheets or manual follow-up.