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Agent library / Compliance and risk

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Compliance and risk

PitCrew reviews documents and communications against your policies, keeps the compliance calendar, prepares exam responses from your records and checks vendor and security documents. Your compliance team makes the calls.

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Agents in Compliance and risk

Choose an agent to see what it reads, what it produces and the rules it follows.

Reviews
Document review, ADV consistencyChecks Form ADV Part 1, Part 2 and your actual practice against each other before you file.Approved by: ComplianceCommunication reviewReviews flagged emails and messages and routes the real issues to compliance.Approved by: CompliancePolicy change impact reviewWhen a policy or rule changes, finds the documents and processes that now need updating.Approved by: ComplianceBranch auditPrepares and works through branch office inspections and drafts the findings.Approved by: Compliance
Day to day
Policy and regulation Q&AAnswers routine staff questions from your firm's policies, with the section cited.Approved by: Compliance, for anything not routineCompliance calendarKeeps every filing and recurring task on the calendar, and reminds owners ahead of each deadline.Approved by: ComplianceSupervision and escalationLogs issues that need supervision and routes each one to the right person with a deadline.Approved by: Compliance
Exams
SEC exam readiness checkChecks your records against what examiners commonly request and lists the gaps.Approved by: ComplianceExam and audit response packageMaps each request on an exam or audit list to your records and assembles the response.Approved by: ComplianceCompliance evidence reportsTurns your agents' run history into reports organized by policy area.Approved by: ComplianceAnnual compliance reviewAssembles the year's testing and findings into a draft annual review report.Approved by: The CCO
Security
Vendor security reviewTracks vendors with client data, reads their security reports and flags exceptions and expiries.Approved by: Compliance and the COODisaster recovery test recordsKeeps the records of your disaster recovery and backup tests, and flags tests that are overdue.Approved by: The COOBreach notification (Reg S-P)Keeps your incident playbook ready and drafts notices and deadlines if an incident happens.Approved by: Compliance and the COOCybersecurity policy auditChecks your written cybersecurity policies against the rules and your own procedures.Approved by: Compliance

Questions firms ask

Last updated: October 2026

What does Compliance and risk cover?

PitCrew reviews documents and communications against your policies, keeps the compliance calendar, prepares exam responses from your records and checks vendor and security documents. Your compliance team makes the calls.

Does a person approve the work?

Yes. Each agent shows its work to the right person before anything is written to your systems or sent to a client. Every run is kept in your firm's private deployment.

How long does it take to set up?

5 working days from data access to the first production run. PitCrew experts connect your systems and enter your firm's rules.

Other Skills

The rest of the agent library, in the order of a client's life with your firm.

Marketing and referralsReferrals, events, newslettersProspects and proposalsInquiries, fit checks, proposalsClient onboardingNew accounts, transfers, formsClient meetingsPrep, notes to tasks, follow-upClient serviceRequests, money movement, updatesPortfolio oversightDrift, cash, model changesBilling and feesFee checks against agreementsData and reportingMatching data, client and firm reports
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