Scale Compliance Retainers
Without Getting Bogged Down In Filing Drudgery
Stop spending 15+ billable hours every week on manual Web CRD Form U4/U5 entries, Smarsh message flag triaging, and Annual Compliance Questionnaire follow-ups. Delegate operational surveillance to vetted, compliance-trained virtual assistants directed by your own Dedicated Project Manager at $0 supervisory surcharge.
What Your Compliance VA Handles
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Web CRD & Form U4/U5 Drafts Preparing registration filings, dual-hatting branch additions, fingerprint card tracking, and DRP disclosures.
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Electronic Communications Lexicon Surveillance Pre-clearing Smarsh/Global Relay flagged message queues, false positive reduction, and logging escalation logs.
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Marketing Review & FINRA Rule 2210 Files Cataloging pitch decks, client newsletters, and website snapshots with required substantiation and disclaimer files.
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Continuing Education (CE) & OBA Tracking Tracking FINRA Regulatory Element windows, Firm Element LMS progress, and outside business activity annual recertifications.
Fluent Across Institutional Compliance & Surveillance Tools
Avoid endless training on basic terminology. Our specialized virtual assistants are already familiar with the platforms compliance consultants and CCOs use daily.
Daily Responsibilities Handled For Your Compliance Practice
Here is exactly what an experienced compliance virtual assistant takes off your desk so you can focus on high-margin strategic advisory and SEC/FINRA exam defense.
Registrations & Web CRD Filings
Eliminate the administrative headache of updating representative records across state and SRO jurisdictions.
- Drafting Form U4 initial registrations, transfers, and exam enrollments
- Processing Form U5 terminations and post-termination amendments
- Tracking electronic fingerprint status via Sterling/Fieldprint
- Logging Outside Business Activities (OBAs) and private securities transactions
E-Comms Triage & Marketing Logs
Maintain pristine surveillance queues without getting buried in thousands of false positive email hits.
- Clearing routine benign hits in Smarsh / Global Relay queues
- Escalating high-risk red flags (guarantees, promissory terms) to the CCO
- Assembling FINRA Rule 2210 / SEC Marketing Rule 206(4)-1 review packets
- Archiving social media posts, webinars, podcasts, and testimonial disclosures
Annual Reviews, CE & WSP Updates
Keep your client broker-dealers and RIAs audit-ready every single week of the year.
- Distributing and tracking Annual Compliance Questionnaires (ACQs)
- Monitoring FINRA Continuing Education (CE) Regulatory Element windows
- Maintaining audit binders for branch office examinations under Rule 3110
- Logging gifts, political contributions (Pay-to-Play), and personal trades
How Many More BD or RIA Retainers Can You Service?
When you offload routine regulatory administration at $7/hr, your consulting profit margin multiplies.
*Calculated over 48 active weeks per year, comparing your consulting advisory value against SageDoer's dedicated Part-Time plan ($7/hr).
Annual Strategic Hours Reclaimed: 720 Hours
Sufficient bandwidth to onboard ~6 to 8 additional monthly retainer clients
How We Work Together In 4 Simple Steps
From first touch to recurring output, we eliminate the friction of managing remote compliance support.
Submit Requirements
Share your specific compliance platforms, firm SOPs, weekly filing cadence, and client workload via Email, Form, or WhatsApp.
Finalise the Deal
Our dedicated project manager reviews your surveillance SOPs, outlines a tailored execution roadmap, and finalises partnership details.
Expert Execution
Your project manager supervises day-to-day work, ensuring data entries and surveillance queues are processed accurately by vetted specialists.
Pay Only for Output
We log and charge exclusively for the assistant's pure working time. Your dedicated project manager's supervision is completely free.
Why Compliance Consultants Choose Sagedoer Over Traditional Freelancers
Compare the risks of unmanaged Upwork/Fiverr contractors with our structured, quality-controlled managed model.
| Key Operational Dimension | Traditional Platforms | THE SMART CHOICE: Sagedoer |
|---|---|---|
| Platform & Management Fees | Up to 40% in hidden markups, bidding, and memberships | 0% Hidden Fees. Pay strictly for hours worked. |
| Daily Team Management | You must juggle and supervise multiple freelancers yourself | Dedicated Project Manager acts as your single point of contact |
| Quality Assurance | Hit-or-miss talent with unverified regulatory knowledge | Internally vetted, rigorously trained compliance assistants |
| Hiring & Deployment Speed | Weeks spent writing job posts, screening, and testing applicants | Instant delegation. We immediately assign the right specialist. |
| Billing & Invoicing | Complex, multi-freelancer invoices with currency headaches | Simple, unified, centralised USD invoicing |
| Staff Turnover & Replacements | Start the entire hiring and software training cycle over again | Seamless internal replacements with zero workflow disruption |
Predictable Pricing. Pay Only For Pure Output.
No setup fees. No platform markup. Your dedicated project manager is included at no additional charge.
20 Hours Per Week
Ideal for boutique compliance consultants needing regular Web CRD filings, Smarsh triage, and ACQ tracking.
- Pay only for hours of pure work
- Dedicated Project Manager included
- Free management supervision
- Zero setup or onboarding fees
- No monthly membership charges
40 Hours Per Week
Full 8-hour daily embedded surveillance & filing unit for scaling regulatory firms and outsourced CCO operations.
- Pay only for hours of pure work
- Dedicated Project Manager included
- Free management supervision
- Zero setup or onboarding fees
- No monthly membership charges
Trusted by Regulatory Consultants & Outsourced CCOs
Discover how compliance practitioners reclaim 15+ hours each week with SageDoer's managed regulatory assistants.
"Before SageDoer, clearing our 10 client broker-dealers' Smarsh queues took up half my week. Our VA pre-clears routine benign messages and flags high-risk issues for my immediate sign-off."
Richard Henderson, CRCP®
Managing Principal, Apex Regulatory Advisors"The Dedicated Project Manager provides an essential QA buffer. When Web CRD Form U4 amendments or branch office registrations need updating, the PM verifies accuracy against firm files first."
Valerie Sterling
Outsourced CCO & Founder, Sentinel Compliance Group"Annual Compliance Questionnaires used to be an administrative nightmare. SageDoer tracked completions across 140 registered reps, followed up systematically, and delivered an audit-ready binder."
Gregory Becker
Partner, BD & Capital Markets Compliance"Marketing reviews under FINRA Rule 2210 and the SEC Marketing Rule require meticulous substantiation files. SageDoer catalogs every deck and disclosure footnote so we sail through exams."
Danielle Lopez
Senior Regulatory Consultant, FinTech & Wealth Compliance"Before SageDoer, clearing our 10 client broker-dealers' Smarsh queues took up half my week. Our VA pre-clears routine benign messages and flags high-risk issues for my immediate sign-off."
Richard Henderson, CRCP®
Managing Principal, Apex Regulatory Advisors"The Dedicated Project Manager provides an essential QA buffer. When Web CRD Form U4 amendments or branch office registrations need updating, the PM verifies accuracy against firm files first."
Valerie Sterling
Outsourced CCO & Founder, Sentinel Compliance GroupFrequently Asked Questions
Clear, honest answers to genuine regulatory boundaries, supervision rules, and data security concerns.
Ready to Delegate Regulatory Admin?
Book a 30-minute practice consultation with our management team or connect instantly via WhatsApp.
Tell Us About Your Compliance Practice
Share your firm's typical regulatory software, weekly volume, or client count. We'll assign the right specialist.