The fastest way to get audit-ready with confidence.
Stand up an exam-ready compliance program in a single day – with policies mapped to workflows and built-in evidence that proves the work was done.
What’s Included in Starter
Certification Templates
Pre-built annual and quarterly certifications aligned to regulatory expectations and industry best practices. Assign, track, and collect attestations in a structured format that creates consistent documentation across employees and time.
Pre-clearance Forms
Trade and potential conflict of interest pre-clearance forms are tied to embedded review workflows. Employees submit, compliance reviews, approvals are documented — all in one traceable system.
Employee Broker Feeds
Direct broker integrations automate trade data collection and monitoring against your restricted list. Instead of chasing statements, activity flows into the platform for structured review and supervisory oversight.
Compliance Calendar
A mapped schedule of recurring and one-off regulatory obligations tied to accountable owners. Nothing lives in someone’s inbox or memory — tasks are assigned, tracked, and evidenced.
Case Management
Centralized intake and resolution tracking for conflicts, exceptions, and supervisory reviews. Every issue is documented, escalated appropriately, and resolved within a defensible framework.
Audit Trails
System-generated, timestamped records of who did what and when. Documentation is created automatically as work happens, producing exam-ready reporting without retroactive reconstruction.
Setting a Foundation for Today. Structured for Tomorrow.
Confidence
Early-stage firms operate in a gray area between written policy and real execution. Starter brings clarity to that gap. You have a defined set of obligations, clear ownership, and documentation captured as work happens.
Speed
Compliance infrastructure should not consume internal bandwidth for months. Starter is turn-key, so you can hit the ground running from day 1. The calendar, workflows, and documentation structure are already in place.
Operational Rigor
Skematic Starter connects policies to procedures and embeds them into structured tasks with accountability and review. The program runs consistently, regardless of who is wearing the compliance hat.
Regulatory Alignment
Starter enables implementation, supervision, and proof. Supervisory checkpoints are visible. Execution history is traceable. Reporting is accessible without manual assembly.
Scalability
Starter is built on the same infrastructure as the broader Skematic platform. As your firm grows, you can introduce more complex supervisory structures, customization, and reporting depth without replacing your foundation.
Skematic Starter Pricing
Skematic Starter
Employee Compliance
$3,000
- Pre-built certifications based on best practices
- Pre-built pre-clearance and disclosure forms for trades and conflicts of interest (OBAs, G&E, Privates, and Political Contributions)
- Employee broker feeds
- System reporting and exports
- 2 system admin seats
- 10 employee seats
Firm Compliance
$3,000
- Pre-built compliance calendar and mapped workflows
- Task management
- Case management & communications tracking
- System reporting and exports
- 2 system admin seats
Platform Bundle
$5,000
Purchase both Starter Employee Compliance and Starter Firm Compliance and Save!
Want more customization, seats and functionality?
Explore our standard pricing packages
Looking to get Registered? We’ve Got You Covered.
For firms preparing to register with the SEC or another regulator, Skematic Starter can also support the registration process through our network of trusted compliance consultants and law firms.
We partner with experienced professionals who specialize in guiding emerging managers through the registration process: from drafting policies and procedures to preparing required filings and establishing a defensible compliance framework.
Note: Registration service fees are in addition to the platform fee listed above.
Frequently Asked Questions
Blend in with your peers (in the best way)
Skematic Starter democratizes enterprise-grade security without unnecessary bulk. The platform runs on the same SOC 2 secure infrastructure that supports 400+ financial services firms.
- End-to-end encryption
- Role-based access controls
- Continuous monitoring
- Hands on support from actual compliance experts
From Policy to Proof of Work.
Newly registered advisers and smaller firms are operating in a regulatory environment that increasingly prioritizes implementation over intention. The SEC has made clear that it is scrutinizing new and never-examined firms, and examinations now focus less on whether policies exist and more on whether they are tailored, followed, supervised, and evidenced.
For firms without a dedicated compliance department, responsibility often sits with the COO, CFO, or founder — layered on top of fundraising, operations, and investor reporting. Manuals and spreadsheets may outline what should happen, but they rarely create consistent execution or defensible documentation. The risk is not a lack of effort. It is operational gaps and missing proof that only become visible under exam conditions.
Skematic Starter transforms compliance from a static document into a working system. It delivers a pre-built, exam-aligned environment where policies are mapped to procedures, procedures are mapped to workflows, and every workflow generates structured, timestamped evidence. Firms can stand up a credible compliance program in a single day, with a mapped calendar, embedded forms, and real-time reporting already in place.
Instead of scrambling to reconstruct documentation before an exam, evidence is created as the work is completed. The result is clarity on expectations, consistency in execution, and a level of traceability that holds up under regulatory review — without the cost or complexity of custom builds or outsourced models.
Stand Up Your Compliance Program in a Day.
Skematic Starter delivers a complete, exam-aligned compliance foundation operational from day one.