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

The Problem

Compliance runs on spreadsheets and reminders

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.

What You Can Automate

Every compliance workflow, fully automated

These are the workflows CCOs and compliance teams automate first with Milemarker Relay.

Quarterly attestations

Personal securities disclosures triggered automatically each quarter. Submissions tracked, reminders sent to non-respondents, completion logged for examination.

Political contributions

Pre-clearance requests routed to compliance, contributions logged against pay-to-play rules, automatic lookback reports generated for review.

Outside business activities

OBA submissions routed for approval, tracked against firm policy, flagged when renewals are due. No more chasing paper forms.

Code of ethics acknowledgments

Annual code of ethics distributed, acknowledgments tracked, non-respondents escalated automatically. Complete records for every employee, every year.

Portfolio drift alerts

Threshold-based triggers detect drift, create review tasks, notify portfolio managers, and log the compliance event — the moment it happens.

Restricted holding notifications

When a holding hits the restricted list, affected advisors are notified immediately. Trading restrictions enforced, exceptions logged, CCO alerted.

$200B+

AUA on Platform

400+

Integrations

97%

Client Retention

Common Questions

Compliance automation questions answered

What compliance workflows can Milemarker Relay automate?

Quarterly personal securities disclosures, political contributions tracking, outside business activity submissions, code of ethics acknowledgments, portfolio drift alerts, and restricted holding notifications — all with full audit trail.

Does Milemarker Relay create a compliance audit trail?

Yes. Every workflow execution is fully logged — what triggered it, what data was routed, where it went, and whether it succeeded. Built for SEC and FINRA examination readiness.

Can Milemarker Relay integrate with our existing compliance tools?

Milemarker Relay connects to 400+ systems including compliance platforms, CRMs, custodians, and communication tools. Data flows between systems automatically based on compliance events.

Do I need engineering resources?

No. Milemarker Relay's visual workflow builder lets compliance and ops teams build automations without code. Define the trigger, set conditions, choose where notifications and data go.

Related guides

Part of the Automation & Relay series:

• Milemarker Relay vs Zapier

• Client Onboarding Automation for Financial Advisors

• SEC Examination Preparation: How Data Platforms Make RIAs Exam-Ready

• N-PORT Reporting Automation: Streamline Quarterly Form N-PORT Filings

• Milemarker Relay for VPs of Technology

• Wealth Management Reporting Automation: From Manual Exports to Real-Time Dashboards