The All-in-One Compliance Platform for Financial Firms
AI-powered marketing compliance review, compliance workflows, ethics management, employee training, policy libraries, and exam-ready audit trails — everything your compliance team needs in a single platform.
12
Pending Reviews
98%
Training Complete
47
Policies Active
Marketing piece approved
Q1 Brochure — passed SEC Marketing Rule review
3 attestations due this week
Annual Code of Ethics certification
Form ADV amendment deadline
March 31 — Annual updating amendment
Built for compliance teams at every type of firm
Why Compliance Approved
Your Compliance Challenges, Solved
15,000+
SEC-registered investment advisers face compliance obligations
Stay audit-ready with built-in tracking and exports
82%
of state-registered RIAs have 1–2 employees
One platform replaces a team of manual processes
12+
compliance modules firms manage with spreadsheets
Replace every spreadsheet with one integrated system
Platform
Everything Your Compliance Team Needs
One platform for every compliance workflow — from document review to ethics management, training to audit readiness.
How It Works
Up and Running in Minutes
01
Set Up Your Firm
Configure your registration type, compliance rules, policies, and team roles in minutes
02
Run Your Program
Manage reviews, training, attestations, ethics disclosures, and deadlines from one dashboard
03
Stay Exam-Ready
Every action is logged. Generate comprehensive audit exports with a single click
Pricing
Simple, Transparent Pricing
No hidden fees. No per-user surprises. One platform, everything included.
Starter
- Up to 5 users
- 10 Marketing Reviews/month
- 20+ Policy Templates
- 10+ Training Modules
- Audit Trail
Professional
- Up to 25 users
- 100 Marketing Reviews/month
- Pre-Built Compliance Library
- Custom Training Upload
- Dashboard Analytics
Enterprise
- Up to 75 users
- 500 Marketing Reviews/month
- Full Template Library
- SSO/SAML Integration
- Dedicated Support
Consulting Services
Need More Than Software?
Compliance Approved is built and run by a working Chief Compliance Officer managing a $2B AUM program. When firms need more than software, we help two ways:
Hourly Consulting
$275/hour
Policy drafting, mock exams, Marketing Rule reviews, ADV support. No retainer, no minimum.
Fractional CCO Referrals
For firms that need a named CCO, we introduce you to a vetted partner network of experienced practitioners.
Security
Security Built Into Every Layer
Your compliance data deserves the highest level of protection.
AES-256 Encryption
Data encrypted at rest and in transit with TLS
Role-Based Access
8 granular roles from Employee to Super Admin
Complete Audit Trail
Every action logged and timestamped
Multi-Tenant Isolation
Firm data fully isolated with tenant-scoped access controls
Session Management
Automatic timeout and token refresh
US Data Residency
All data stored in US data centers on GCP
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.