Centralized vendor oversight
Keep ownership, services, data access, risk, contacts, and status in one controlled inventory.
Third-Party Risk Management for Financial Services
Your vendors, finally out of the spreadsheet.
Third-party risk management without the spreadsheet chaos. Centralize vendor oversight, due diligence, risk assessments, documentation, monitoring, findings, and reviews in one simple platform.
30-day free trial. No credit card to start. Live in under an hour, no call needed.
- Vendor inventory
- AI vendor import
- Due diligence & reviews
- Incident response timers
- Fourth-party tracking
- Reg S-P oversight
- Exam-ready evidence
- MFA on every account
- Firm-level data isolation
- Zero-retention AI
- 30-day money-back guarantee on paid plans
New: AI Use Register
See how firms record their AI use—before you sign up.
Explore a fictional sample workspace with made-up AI use cases: the register, the coverage view, and a sample evidence pack you can download. No sign-in, no real client data.
Built for regulated financial services
One dependable record for every vendor, review, and exam.
Vendor information is scattered across spreadsheets, due diligence sits in email, SOC reports and contracts go missing, reviews become inconsistent, and findings lose clear ownership. ThirdNexa gives compliance teams one dependable record for ongoing oversight and examinations.
For Registered Investment Advisers, Broker-Dealers, Asset Managers, Private Funds, Compliance Departments, and Chief Compliance Officers.
Consistent due diligence
Run initial and recurring reviews with questionnaires, evidence, findings, remediation, and recorded decisions.
Vendor incident response
Record breaches, outages, and cyberattacks with Reg S-P notice timers, a step-by-step response checklist, root cause, and linked remediation — all exportable.
Fourth-party visibility
Track the subcontractors your vendors rely on, what data they touch, and where the same subcontractor appears across multiple vendors.
Deadlines kept visible
Monitor contracts, cancellation windows, renewals, expiring evidence, and annual review dates.
Audit-ready records
Maintain a complete activity history and generate plain, reproducible examination evidence packs.
Compliance calendar
One master schedule of recurring obligations — filings, reviews, certifications, training — alongside every deadline already in your vendor records.
Annual review evidence pack
One click exports the year's reviews, findings, incidents, and decisions with a linked evidence index — ready for your annual program review.
Controlled rollout · Staff-enabled per firm
AI Vendor Oversight
Record vendor AI systems, assess AI-specific risks, preserve reviewer decisions and track recorded changes with evidence and owned follow-up. Workflow verification is still in progress; access is enabled separately by ThirdNexa staff, not automatically by choosing a plan.
Explore AI Vendor OversightWhy now
The SEC's FY2026 examination priorities identify third-party vendor oversight, while Regulation S-P heightens incident-response and vendor-risk expectations. Financial services firms need a current, demonstrable record of due diligence and ongoing monitoring—not a promise of compliance.
Exam response tracking
When the exam letter arrives, nothing slips.
An SEC exam request list can run to dozens of items, each with its own deadline. ThirdNexa gives your firm a single place to work through it—connected to the vendor records you already keep here.
Request tracker
Log every request item with its reference, owner, due date, and status. Link the exact vendor records—reviews, contracts, findings, documents—that answer it, and see past-due items at a glance.
Production log
Keep a permanent record of exactly what was sent to examiners, when, and with what scope. Entries cannot be edited or deleted—by anyone—and the whole log exports to CSV.
2026 SEC examination
Sample data12 requests · 3 shown · 1 produced
RequestStatus
A tracking tool only: your firm records every decision, and ThirdNexa never judges whether a response is adequate.
A clear, documented lifecycle
From intake through annual review
- 01Vendor Added
- 02Risk Assessed
- 03Due Diligence
- 04Review
- 05Approval
- 06Monitoring
- 07Annual Review
Built for firms your size
Enterprise-grade vendor oversight without the enterprise platform.
Most vendor-management platforms were built for large institutions with implementation teams and multi-year contracts. ThirdNexa was built for Chief Compliance Officers and lean teams at Registered Investment Advisers, broker-dealers, and private fund managers—modern, fast, and priced for firms your size.
Onboarded in under an hour
A guided setup wizard takes you from firm profile to vendor list to configuration. No implementation project, no professional-services invoice.
AI vendor import from any file
Spreadsheets, PDFs, Word documents, images, or pasted text. AI reads your existing list and proposes vendor entries—you review and approve every field before anything is saved.
Automatic reminder emails
Branded reminders for upcoming reviews, expiring documents, contract notice windows, and open questionnaires—so deadlines get met without anyone maintaining a calendar.
Transparent, budget-friendly pricing
Published monthly and prepaid annual firm plans — 30-day free trial, no credit card to start. Enterprise uses a custom quote.
Modern and easy to use
A clean, fast interface your whole team can navigate on day one—designed around how small compliance teams actually work, not how large departments are organized.
The difference, side by side
Here is what changes when your vendor oversight software is designed for firms your size rather than enterprise compliance departments.
Enterprise VRM platformsThirdNexa
Time to first valueMulti-week implementation projectsGuided setup—running in under an hour
Migrating your vendor listManual templates and data servicesAI import from any file, reviewed field by field
Deadline managementOften an add-on or manual processAutomatic email reminders included on every plan
PricingTypically unpublished, contact salesCore $2,400/year or $239/month; Growth $4,800/year or $479/month. 30-day free trial
Built forLarge compliance departmentsCCOs and lean teams at SEC- and FINRA-regulated firms
ThirdNexa is software that organizes your oversight work and records. It does not make legal or regulatory determinations for your firm.
ClaudeChatGPTRead-only MCP connection
Works with Claude and ChatGPT
Your vendor records. Your preferred AI assistant.
Connect ThirdNexa through the Model Context Protocol (MCP) to search vendors, view risk profiles, check review deadlines, and read open findings and recorded Regulation S-P contract clause statuses.
Ask about the work already in your records
“Which vendor reviews are overdue or due in the next 30 days?”
“Show open findings and remediation details for my vendors.”
“Show recorded Reg S-P contract clause gaps for my vendors.”
Example questions, not customer data or generated answers.
- Sign in and approveAccess is limited to firms you can access in ThirdNexa.
- Queries recordedEach query is recorded in the relevant firm's activity log.
- Read-only by designNo edits or approvals. Your firm records every decision.
Recorded statuses are not compliance determinations or legal advice. Claude and ChatGPT are third-party services; connector availability depends on their plans and settings. Review their data policies before connecting.
Compliance & Regulations
Connect your vendor records to the frameworks shaping financial services.
Review Regulation S-P, Regulation S-ID, Advisers Act Rules 206(4)-7 and 204-2, the Marketing Rule, and FINRA vendor guidance—without asking software to make the legal determination for your firm.
Bring your third-party risk program into one place.
See how ThirdNexa fits your firm or consultancy.
For firms
30-day free trial. No credit card to start.
For compliance consultants
Manage all your client firms from one login.