RRed Oak Compliance provides compliance software and services to financial services and insurance firms. Its main product is a SaaS platform that automates the submission, review, and approval of advertising and marketing materials to ensure they comply with regulations from bodies like the SEC and FINRA, and to preserve electronic records in line with SEC Rule 17a-4. The offering combines software with consulting services, giving clients both the automated workflow and regulatory guidance. The company differentiates itself by delivering an integrated solution that covers end-to-end compliance workflows for advertising materials and related risk management, rather than just generic software. Its goal is to help broker-dealers, investment advisers, and insurance companies meet regulatory obligations efficiently and reduce compliance risk by acting as a comprehensive compliance partner.
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Industries
Company Size
51-200
Company Stage
Growth Equity (Venture Capital)
Total Funding
$51M
Headquarters
Cedar Park, Texas
Founded
2010
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Total Funding
$51M
Above
Industry Average
Funded Over
1 Rounds
Red Oak and MirrorWeb have agreed to merge their compliance technology platforms, creating an integrated solution for managing regulated communications across financial services. Financial terms were not disclosed. The combined platform will span content creation, compliance review, distribution, communications supervision, and regulatory archiving. MirrorWeb CEO Romir Bosu will lead the merged entity, which operates under the Red Oak brand. The companies serve 17 of the world's 20 largest asset managers, collectively representing over $62 trillion in assets under management, alongside more than 1,550 regulated firms. Red Oak's platform handles marketing content creation and AI-assisted regulatory approvals. MirrorWeb provides communications capture and supervision across channels including email, WhatsApp, and LinkedIn, using its Mira AI engine to identify conduct risks. The merger addresses growing demand for unified compliance systems as financial institutions face expanding digital communications volumes and increasingly complex regulatory requirements.
Red Oak, a compliance connectivity platform for financial services, has appointed Kirk Sadler as chief product officer. Sadler will work across engineering, sales, marketing and leadership teams to drive product roadmap priorities and return on investment for clients. Sadler brings over 20 years of product management experience in B2B enterprise software, including leading organisations through six acquisitions. He previously spent nearly a decade as vice president of product at Mitratech, where he built solutions for legal, risk and compliance professionals across Global 1000 companies in regulated industries. Red Oak's platform connects content creation, review, distribution and supervision for financial services firms, powered by what it calls Compliance-Grade AI. The company aims to streamline marketing content approvals whilst enabling distribution and analytics.
Red Oak, a compliance connectivity platform for financial services, has appointed Michael Allain as Chief Revenue Officer. Allain will lead revenue growth initiatives and work across sales, operations and leadership teams. Allain brings over 30 years of B2B sales experience, including more than two decades in financial services. He previously served as Executive Vice President of Sales at Billd and Vice President of Sales at Rho, and spent over 15 years at American Express leading regional sales organisations. Red Oak provides a platform that integrates content creation, review, distribution and supervision for financial services firms. The company uses compliance-grade AI to streamline marketing content workflows and enable distribution through its 4U system.
Red Oak holds first annual Sweat Out Cancer 5K Fun Run and Walk.
Red Oak Compliance just wrapped its 6th Annual Red Oak User Conference in Austin, and Red Oak Compliance is still energized by the community, conversations, and breakthroughs that filled the room.
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Industries
Company Size
51-200
Company Stage
Growth Equity (Venture Capital)
Total Funding
$51M
Headquarters
Cedar Park, Texas
Founded
2010
Find jobs on Simplify and start your career today