BasisCode for Consultants


Would compliance software maximize the potential of your client relationships?

The groundbreaking BasisCode compliance dashboard software for consultants provides a comprehensive regulatory management system that empowers compliance consulting firms to automate key processes so they can focus on more meaningful engagement with clients. 

BasisCode for Consultants enables you to manage effective compliance programs so you can focus on the things that matter most to your clients, including:

  • Optimizing the way you deliver services to clients by providing the ability to customize services on a client-by-client basis
  • Simplifying day-to-day functions and adding transparency to client processes and services, resulting in improved profitability
  • Standardizing service delivery and management of regulatory compliance programs

Compliance and risk management technology creates scalability and optimizes growth

BasisCode’s compliance technology offers a comprehensive set of integrated risk management tools that provide flexibility and capacity to scale. Designed to meet the needs of financial consultants, our software is an essential compliance solution for organizations of all sizes.

Our dashboard software provides consulting firms a streamlined approach to onboarding new clients and the framework to rapidly design, deploy and continuously update the controls for each relationship. Benefit from effortless day-to-day management of compliance programs while increasing transparency and accountability.

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Testing & Certifications

Risk Assessments

Gifts & Entertainment

Workflow Enabled Forms

Document Library

Code of Ethics & Personal Trading

Employee Portal & Mobile App

Key Benefits of a Compliance Management System

Competitive Advantage

  • Accommodate the diverse demands and expectations of prospective clients by offering the most comprehensive compliance solution
  • Surpass national corporate brands that dilute in-house offerings by attempting to design and deliver technology
  • Provide verifiable value to each relationship with a transparent audit trail of the completed work items collaborated on via technology


  • Enhance service offerings by automating core administrative processes, freeing up time to promote more meaningful engagement
  • Strengthen and showcase brand subject matter expertise by systematizing routine activities 
  • Measure and improve overall staff performance, productivity and transparency via robust analytics

Comprehensive Compliance Management

  • Access a consolidated view across all clients and global action items, with the ability to drill down into client specific work items from a single, unified dashboard
  • Model baseline templates for tests, certifications, questionnaires and risk assessments enabling efficient client onboarding and program maintenance
  • Trust the industry’s leading, fully-integrated, compliance technology framework that prioritizes audit-readiness and reporting

Centralize & Standardize

  • Adopt a firm-wide technology to organize client assets, templates and processes while offering agile responses to client needs
  • Unify internal procedures to optimize service offerings and standardize deliverables to promote brand and provide a consistent work product 

Showcase your Brand

  • Increase brand awareness as a BasisCode Marketplace partner 
  • Showcase core competencies, value proposition and differentiators to potentially gain new partnerships with direct clients of BasisCode

Easily collaborate with clients securely, creating transparency and strengthening relationships

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“The best compliance software systems will package up all of your testing material,” said Robling. “Once you assign the date parameters, it will produce all of the documentation pretty much at the touch of a button. With an examination situation it can save you a ton of time.”

Brian Robling, SEC Compliance Consulting