Built for Financial Services
Response management software for financial services
Banks, asset managers, and insurers face the same response problem at scale: regulatory DDQs, vendor risk assessments, customer security questionnaires, and proposal volume that keeps growing. RocketDocs is the platform built for the way financial services firms actually work, with private AI, multi-affiliate support, and the audit trail FINRA, OCC, and SEC reviewers expect.
- 50%
- faster RFP turnaround
- 2x
- capacity per responder
- 95%
- content reuse from approved library
- 100%
- audit-ready
Why financial services teams choose RocketDocs
Built for the firms with the longest memories
Financial services firms have something most software vendors underestimate: a long, painful memory of the platform that promised AI-driven productivity and ended up sending client data through a third-party model. Of the system that aced procurement review and failed the first audit. Of the implementation that took eighteen months because the vendor lacked experience with the multi-affiliate structure.
RocketDocs has been working with financial services companies since 1994. The platform was built for the firms with the longest memories. Private AI was an architectural decision, not a marketing position. Multi-affiliate library structure is the default, not a customization. The audit trail is the same audit trail that has supported customers through SEC reviews, OCC vendor evaluations, and FINRA exams for three decades.
Three industries, one platform
Banking, asset management, and insurance
Banking
Banks and bank holding companies use RocketDocs to handle customer security questionnaires, regulatory DDQs, OCC vendor management responses, and proposal volume across treasury services, wealth management, custody, and corporate banking. Multi-line-of-business support with segregated libraries.
Explore BankingAsset Management
Asset managers use RocketDocs for investor RFPs, DDQs (institutional, family office, fund of funds), regulatory DDQs (SEC, CFTC, FCA), ILPA Standardized DDQ responses, and quarterly investor updates.
Explore Asset ManagementInsurance
Insurance carriers and brokers use RocketDocs for broker-led RFPs, reinsurance treaty questionnaires, regulatory exam preparation (NAIC, state insurance departments), and customer due diligence at scale.
Explore InsuranceCompliance frameworks supported
The frameworks financial services teams answer to
- SOX (Sarbanes-Oxley) for public company reporting controls
- GLBA (Gramm-Leach-Bliley) for customer data protection
- FINRA rules for broker-dealer compliance
- OCC vendor management expectations (Bulletin 2013-29 and successors)
- SEC reporting and Form ADV support
- CFTC for derivatives and commodities firms
- FCA for UK-regulated firms
- BaFin for German-regulated firms
- MiFID II for EU investment firms
- NAIC Model Laws for insurance carriers
- Solvency II for European insurers
- SOC 2 Type II and ISO 27001 supporting your own customer responses
Multi-affiliate support
Multi-affiliate is the default, not the add-on
Most financial services firms are not single entity. A bank holding company typically has multiple subsidiaries. An asset manager has multiple affiliates, multiple product lines, multiple strategies, and multiple share classes. An insurance group has multiple carriers across multiple states. The same DDQ, the same RFP, and the same security questionnaire may be answered three or four different ways depending on which entity is responding.
RocketDocs is built for that. Per-affiliate libraries, per-affiliate workflows, per-affiliate permissions. Cross-affiliate content reuse where applicable. Strict segregation where regulation demands it. Multi-affiliate support is the default, not an enterprise add-on.
What FS teams get
Everything regulated banks actually need
- Private AI, RocketDocs-run: your client data, AUM information, and trading activity are never sent to public AI providers and never used to train any model
- Office-native LaunchPad: writers work in Microsoft Word and Excel without learning a new platform
- Multi-affiliate library structure: per-entity content with shared library or strict segregation as your firm requires
- Custom workflows and approvals: configurable approval gates for compliance review, legal review, and any other gate your firm requires
- Salesforce integration: bidirectional sync with the CRM most financial services firms run
- Real-time reporting: response cycle time, win rates, SME load, and library health by entity
- Audit trail by default: every action logged and every approval timestamped
What customers say
Trusted by the teams whose responses cannot be wrong
Things that could have taken a half an hour can now take possibly a minute. It is absolutely a massive time saver in keeping hundreds and hundreds of answers ready to go for us to use.
Our project load has consistently increased year over year for many years. I tie our ability to keep meeting that, without hiring more people, to RocketDocs.
Not only are sales representatives creating better proposals, but they’re also doing it in a fraction of the time it used to take, which frees them up to spend more time in front of customers or to pursue more sales opportunities.
FAQ
Frequently asked questions
Does RocketDocs support OCC vendor management requirements?
Yes. RocketDocs is used by banks for OCC vendor management response and evidence management, including the documentation patterns described in OCC Bulletin 2013-29 and its successors. Workflows can be configured to match your firm's vendor management framework.
How does RocketDocs handle SEC and FINRA examination preparation?
Examination prep typically involves repeating the same questions year after year. RocketDocs library structure and workflow templates support recurring examinations natively, with the Refresh function that updates previously approved responses.
Can different affiliates of our firm share content where appropriate but stay segregated where required?
Yes. Multi-affiliate support is a primary design consideration. Each affiliate can have its own library, its own workflows, and its own SMEs, with cross-affiliate content reuse configurable based on your firm's policies. Strict segregation is enforced at the database, application, and API levels.
Does RocketDocs support international financial services regulators?
Yes. The platform supports US (SEC, CFTC, OCC, Fed, FDIC, FINRA, NAIC), UK (FCA, PRA), EU (BaFin, AMF, AIFMD, MiFID II), and other major financial services regulators. For specific jurisdictions, talk to a specialist.
Will my client data ever be sent to OpenAI, Anthropic, or another AI provider?
No. RocketDocs runs its own private AI, with a dedicated document store for each customer. Your data is never sent to public AI providers and never used to train any model. That includes your client data, AUM information, and trading activity.
How long does implementation take for a financial services firm?
Most financial services deployments go live in 4 weeks. Multi-affiliate firms with complex workflows may take longer because the configuration is deeper. The implementation team includes specialists with financial services experience.
How is RocketDocs priced for financial services firms?
Pricing is based on team size, content volume, number of affiliates, and required modules. Most financial services engagements start at the published minimum. Book a Demo for a tailored ballpark cost.
Free resource
The 2026 DDQ Compliance Checklist
Get the 2026 DDQ Compliance Checklist. 50 items across encryption, access, audit trails, AI governance, and certifications. Built for financial services compliance and InfoSec teams.
Cut your RFP response time in half, with your data kept private.
A specialist will walk you through a configuration tailored to your firm's structure, with multi-affiliate library, approval workflows, and compliance posture demonstrated end to end.