Overview

A registered investment advisor (RIA) with $2B+ AUM needed a centralized dashboard to track regulatory obligations, annual review deadlines, employee certifications, and correspondence archiving requirements across SEC and state-level rules.

What We Built

• Obligation registry: each rule mapped to owner, cadence, evidence type, and due date
• Evidence upload and version tracking for certifications and review reports
• Calendar view of upcoming deadlines with configurable alert lead times
• Compliance officer sign-off workflow with electronic attestation
• Exportable compliance calendar for board reporting

Stack

PHP 8.2, PostgreSQL, AWS S3, SES. Deployed on a private VPC with MFA-enforced access.

Outcome

Passed SEC annual examination with zero findings related to recordkeeping or deadline compliance.