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Smartsheet for Compliance Risk Management from SmartSheet
Includes capabilities for audit trails, document management, and reporting compliance. Facilitates collaboration and workflow automation across teams to enhance compliance processes.
Product analysis by function
Audit Trail Systems for Compliance and Risk Management
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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Data Capture & Recordkeeping
(7 Yes /7 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Smartsheet allows logging of all interaction types as part of its collaborative record-keeping, based on official documentation for compliance use cases. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Audit trails in Smartsheet record date/time of changes as indicated by their documentation and audit log export capability. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Attachments are supported per row and sheet in Smartsheet to securely associate documents with entries. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Editable notes and commenting on records are standard in Smartsheet. Prior versions are retained through sheet history for compliance. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Smartsheet tracks change histories and provides full version histories via Activity Log; supports auditability. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
No information available | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Smartsheet supports importing and exporting in batch (CSV, Excel, Google Sheets, etc.). | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
Smartsheet supports attachments of images and some multimedia files. Video and audio support relies on integrations; partial support. |
Search, Retrieval & Reporting
(7 Yes /7 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Search and filter features allow advanced searching by field, date, user, and activity. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Customizable reporting is a core feature, including flexible column/row selection. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Audit data and sheet activity can be visualized through timeline, Gantt charts, and activity logs. Not a dedicated audit trail timeline, but visual reporting and filtering is possible. | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Reports can be saved and scheduled for automation. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
User views and report/data access are restricted based on permissions. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk export is a standard feature for sheets, rows, and attachment data. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
Smartsheet allows tagging with keywords (custom columns or Smartsheet 'tags') for flexible search. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
No information available |
Security & Access Control
(6 Yes /6 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
Secure user authentication (supports SSO and optional 2FA) is available. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Roles and granular permission settings are available for each sheet and workspace. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Smartsheet data is encrypted at rest per vendor trust documentation. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Data is encrypted in transit using TLS per Smartsheet security documentation. | |
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Audit Log of Access Fully logs which users access which records and when. |
Activity logs note which users accessed records and files in the sheet. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Automatic session timeout is configurable, and session limits are in place. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
No information available | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(5 Yes /5 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
No information available | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Automation rules can be set by users to create compliance triggers and alerts (using the Smartsheet Automations/Workflows engine). | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
No information available | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
No information available | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automation can alert users (alerts, reminders, requests) to exceptions and deadlines using workflow rules. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Smartsheet supports custom reporting in various formats via Reports and Views. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
No information available | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Centralized document library/sheet storage can be used for policies and forms. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Retention workflow automations can be configured for deletion/archiving at defined intervals. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(9 Yes /9 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
Smartsheet has a REST API for programmatic access to audit and sheet data. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Integrates with Salesforce, cloud storage, DocuSign, Jira, Microsoft 365, and other core financial/advisory systems. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Email automation/rules allow emails to be tracked as part of records, and direct integration is supported. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Integrates with DocuSign and other document management providers for signatures and audits. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Calendar integration available for task and workflow management (Google Calendar, Outlook calendar sync). | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
Webhooks and outgoing notifications can be set up via Automations and API. | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
Mobile apps for iOS and Android provide access and workflow management from mobile devices. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
Data is synchronized live between users, integrations, and devices. | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integrations supported via API and IT/partner network. |
Scalability & Performance
(3 Yes /3 Known /10 Possible features)
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Smartsheet provides business continuity, backups, and DR per its Trust Center. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
No information available | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Choice of Smartsheet Gov (cloud) and Smartsheet Enterprise (cloud), no standard on-premises, but options for private cloud environments. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Storage dynamically scales with business need per Smartsheet documentation. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
No information available | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
No information available |
User Experience & Interface
(8 Yes /8 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Intuitive dashboard and summary views available for activity, tasks, and sheet summaries. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
Views, columns, and reporting are customizable at the user/group level. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
Multi-language support for UI and help content is available (major languages covered). | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
No information available | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Web app (responsive), Android and iOS apps available. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
Field/tool tips and in-app help are available throughout the platform. | |
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Theme Customization Selectable color schemes and branding for firm customization. |
Enterprise plan supports custom theme/branding. | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
Templates available for audit/compliance tracking to speed up record entry. | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
Navigation allows drill-down from summary to row details in a few clicks. |
Notifications, Alerts & Workflow Automation
(7 Yes /7 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Custom rules for sending alerts and reminders via the Automation rules interface. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Automation rules allow tasks to be assigned upon audit trail events. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Notifications can escalate via automation rules if unaddressed. | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
Calendar integrations allow reminders and audit deadlines to be pushed to calendars. | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
No information available | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
Template-based workflows available for compliance and audit | |
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Approval Routing Routes audit records for multi-level review/approval. |
Approval process workflow is available and configurable per sheet or report. | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
Real-time status and update notifications available through alerts and Automations. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(0 Yes /0 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
No information available | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
No information available | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
No information available | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
No information available | |
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Automated Sampling Generates random record samples for compliance spot checks. |
No information available | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
No information available | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
No information available | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
No information available | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
No information available | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
No information available |
Customization & Extensibility
(6 Yes /6 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom columns/fields can be added to sheets by users. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Drag-and-drop sheet/form builder available. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
No information available | |
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Custom Branding Upload logos, firm colors, and themes. |
Enterprise plans support custom logos/colors. | |
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Localization Support Adapt layouts and content for global offices. |
Layouts and content can be set per region/business unit. | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
No information available | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
No information available | |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
Custom roles can be created and managed. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
API documentation and developer guides are available. |
Support, Training & Vendor Reliability
(8 Yes /8 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
24/7 support for enterprise plans documented on the Smartsheet support page. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Implementation guides, onboarding sessions, and help content are available. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Extensive online help and FAQ documentation library is available. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live and recorded training sessions are available to customers. | |
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Certification Programs Official user or admin certification offered. |
Certification programs for users and administrators are offered. | |
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Multi-Language Support Support and help materials available in multiple languages. |
Support and documentation available in several major languages. | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Release notes and public roadmap are published regularly. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Outage and maintenance notifications sent via email and posted to the Trust Center. | |
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Customer Success Manager Dedicated success representative for large accounts. |
No information available | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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