Security & Compliance

Volios is built for regulated wealth management firms that need AI to be auditable, supervised, and aligned with their existing controls. Our goal is to make it easy for Chief Compliance Officers and operations teams to say “yes” to AI without increasing operational or regulatory risk.

Data handling

• Client, account, and portfolio data is logically segmented by firm. We do not mix data between advisory firms.
• Access to sensitive data is restricted by role, with audit logs for administrative actions and data exports.
• Integrations with CRM and portfolio systems use token-based authentication and are scoped to the minimum permissions required.

AI usage oversight

Volios is designed to give your compliance and supervision teams a clear view of how AI is being used across the firm.

• Central log of AI interactions tied to users, clients, and underlying evidence.
• Alerts when client PII or material non-public information appears in prompts or outputs.
• Review workflows so supervised principals can approve or flag outbound communications before they reach clients.

Regulatory alignment

We design Volios with U.S. wealth management regulation in mind, including SEC and state-registered RIAs.

• Controls to support policies around Reg S-P, Reg BI, and marketing rule reviews.
• Evidence collection to support annual reviews, cybersecurity programs, and vendor risk assessments.
• Audit-ready history of changes to prompts, templates, and model configurations used across the firm.

Talk to us

If you are a CCO, CTO, or operations lead at a wealth management firm, we are happy to walk through our security approach in more detail and share our roadmap.