Built for FCA SYSC 9 supervision & monitoring

Turn client meetings into exam-ready audit documentation — in minutes.

Upload recordings from Zoom, Teams, Google Meet, Webex, and more. Generate timestamped supervision notes with evidence links. Review, finalize, and export a defensible documentation pack.

See a sample export packBook a demo
Evidence timestamps
Audit trail logging
CCO-only finalization
Enterprise-grade encryption•SOC 2 controls

Review Queue

Client interaction records

Ready for Review
12
Finalized
3
Drafts
8m
Avg. Review

Johnson Portfolio Review

Finalized by Sarah (CCO)

Smith Retirement Planning

Draft ready • 45 min meeting

Review

Built for Compliance Officers Who Are Drowning in Manual Documentation

From Meeting to Audit Pack

Client meeting documentation shouldn't take longer than the meeting itself. Let AI do the heavy lifting.

AI Transcription

Upload your meeting recording from any platform and get a complete, speaker-diarized transcript in minutes.

Under 10 Minutes

Review AI-extracted key points, edit if needed, and finalize. Fast, accurate documentation.

Structured Output

Every meeting produces the same professional format. Consistent across your entire team.

Evidence Linking

Every claim in your notes links back to the exact transcript moment. Audit-ready by default.

Measured Results

The ROI of Proactive Compliance

Results from UK financial services firms using Comply Vault for FCA supervision and monitoring documentation.

40+hours

Saved monthly

On supervision notes, audit prep, and documentation

75%

Cost reduction

Compared to manual compliance processes

3x

Faster exam prep

From 3 days to 4 hours average

Based on firms with 5-15 advisors, $250M-$2B AUM, 6-month trackingSee methodology

Ready to see these results for your firm?

Calculate Your Savings
What You Get

Exam-Ready Export Pack, One Click

Every finalized meeting generates a complete documentation bundle you can file directly into your compliance system.

Structured Compliance Note

PDF

Topics, recommendations, disclosures discussed, decisions, and follow-ups—all extracted and formatted.

Evidence linksSign-off recordedVersion history

Evidence Map

CSV

Each claim linked to timestamp, transcript snippet, confidence score, and edit status.

Timestamp linksConfidence scoresEdit tracking

Full Transcript

TXT

Complete meeting transcript with timestamps and speaker labels for reference.

Speaker diarizationTimestamp markersSearchable text

Complete Audit Pack

ZIP

All files bundled: PDF note, CSV evidence map, CSV version history, TXT transcript, interaction log.

One-click downloadExam-ready formatComplete bundle

Supported uploads: MP3, MP4, WAV, M4A (from Zoom, Teams, Google Meet, Webex, and more)

See the Workflow
Core Capabilities

What Comply Vault Actually Does

Upload meeting recordings, get structured documentation with evidence linking. Review, finalize, and export.

Smart Transcription

Upload meeting recordings from Zoom, Teams, Google Meet, Webex, and more (MP3, MP4, WAV, M4A) and get speaker-diarized transcripts with precise timestamps.

AI Extraction

Automatically identify topics discussed, recommendations made, disclosures, decisions, and follow-up items.

Evidence Linking

Every extracted claim links to the exact transcript moment with timestamp and snippet. Click to verify.

Review Workflow

Edit extracted fields before finalizing. Add context, correct errors, and ensure accuracy with your review.

CCO-Only Finalization

Role-gated workflow ensures only CCO/Owner can finalize records. Members can upload and edit drafts.

Complete Audit Trail

Every action logged: who uploaded, who edited what, who finalized, when. Full version history included.

Note: Comply Vault helps you create exam-ready documentation. It does not make compliance determinations or guarantee SEC compliance. Always consult with your CCO.

Built for Specific Firms

Is Comply Vault Right for Your Firm?

We've built Comply Vault for firms that need defensible documentation and compliance trails. Here's how to know if we're a fit.

Best For

SEC-Registered RIAs

$100M+ AUM with federal registration requirements

CCO-Led Compliance Teams

Dedicated compliance function (even if part-time)

Regular Client Meetings

Firms with ongoing advisory relationships to document

Growing RIAs

Scaling compliance without adding headcount

Not Ideal For

Firms without advice conversations to document
State-registered only (no SEC filing requirements)
Teams without compliance concerns or supervision needs
Broker-dealers (FINRA vs RIA compliance workflows)

Not sure? Book a quick call and we'll help you determine if Comply Vault is the right fit for your firm's specific situation.

Want to learn more about our RIA compliance software features?

Explore RIA Compliance Software
Simple Workflow

Up and Running in 3 Simple Steps

Getting started with Comply Vault is quick and painless. Upload a recording and have your audit pack ready in under 10 minutes.

01

Upload Recording

Upload your meeting recording from Zoom, Teams, Google Meet, Webex, or any platform. We support MP3, MP4, WAV, and M4A formats up to 500MB.

  • Drag & drop upload
  • Multiple formats
  • Secure transfer
02

Review & Edit

AI extracts key topics, decisions, and recommendations. Review the draft and make any edits needed.

  • Speaker diarization
  • Topic extraction
  • Evidence timestamps
03

Finalize & Export

CCO finalizes the record. Export your audit pack as PDF, CSV, or ZIP with full evidence linking.

  • CCO approval workflow
  • Audit-ready exports
  • Complete audit trail
Get a Demo
Security-First Architecture

Built for Sensitive Data

Client meeting recordings contain sensitive information. We've built Comply Vault with security as a foundation, not an afterthought.

Encryption Everywhere

TLS 1.2+ in transit, AES-256 at rest for all recordings and documents.

Role-Based Access Control

Only CCO/Owner roles can finalize records. Members can upload and edit drafts.

Workspace Isolation

Each firm's data is completely isolated. No cross-tenant access possible.

Security Status

Currently Implemented

AES-256 Encryption

Data encrypted at rest and in transit

Role-Based Access

CCO-only finalization workflow

Audit Trail

Complete interaction logging

Workspace Isolation

Strict tenant separation

On Our Roadmap

SOC 2 Type II
In Progress
WORM Retention
Planned

We're actively working toward SOC 2 Type II certification. Contact us for our current security documentation and subprocessor list.

Request Security Documentation

Also supports UK FCA supervision workflows.

Common Questions

Frequently Asked Questions

Honest answers about what Comply Vault does and doesn't do.

Comply Vault turns your meeting recordings from Zoom, Teams, Google Meet, Webex, and other platforms into structured compliance documentation. You upload a recording, we transcribe it with timestamps and speaker labels, extract key information (topics, recommendations, disclosures, decisions, follow-ups), and let you review/edit before finalizing. You get a downloadable audit pack (PDF, CSV, TXT, ZIP) that you can file into your compliance system.
We support MP3, MP4, WAV, and M4A files. These are standard formats from Zoom, Teams, Google Meet, Webex, and other meeting platforms. We recommend uploading the original recording for best transcription quality.
A complete audit pack containing: (1) PDF structured compliance note with topics, recommendations, disclosures, decisions, and follow-ups, (2) CSV evidence map linking each claim to timestamps, (3) CSV version history showing all edits, (4) TXT transcript with timestamps and speaker labels, (5) ZIP bundle with everything. You can also export individual files.
Anyone in your workspace can upload recordings and edit draft records. But only users with supervisor or compliance officer roles can finalize a record. This ensures a clear compliance boundary—the supervisor reviews and approves before anything becomes an official record. All finalization is logged with who approved and when.
Comply Vault helps you create documentation that supports your FCA SYSC 9 supervision and monitoring workflows. We generate structured file notes with evidence linking and complete audit trails. However, we don't make compliance determinations or guarantee FCA compliance. You and your compliance team are responsible for ensuring your documentation meets your firm's requirements. Consult your compliance counsel for specific regulatory questions.
Three ways: (1) Every extracted claim links to the exact transcript moment so you can verify, (2) We show confidence scores for extracted items, (3) You review and edit before finalizing—nothing becomes official until you approve it. We call this "human-in-the-loop" because your review is the final quality check.
All data is stored in US-based cloud infrastructure with AES-256 encryption at rest and TLS encryption in transit. Each workspace is completely isolated—there's no cross-tenant access possible. We maintain audit logs of all access to your data.
We're actively working toward SOC 2 Type II certification. Currently, we have security-first architecture with encryption, role-based access, audit logging, and workspace isolation. Contact us for our current security documentation and subprocessor list.

Want to see it in action?

Schedule a demo and we'll walk you through the complete workflow with a sample meeting.

Schedule a Demo

Ready to Transform Your Compliance Workflow?

See how ComplyVault turns meeting recordings into exam-ready audit packs in under 10 minutes. Get a personalized demo for your firm.

Finalize records in <10 minutes
Evidence-linked audit packs
Supervisor-only finalization controls
FCA SYSC 9 ready
256-bit Encryption • SOC 2 Readiness • US-Based Storage

Book a Demo

See how ComplyVault can transform your compliance workflow

By submitting, you agree to our Privacy Policy. We'll never share your information.