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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%
compliant and 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.

Compliance 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 (Llama 3.3, hosted privately): your client data, AUM information, and trading activity never leave your environment
  • 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

4.8 / 5 on G2
The tool itself is very simple and direct. I've trained a lot of people on this and they're like, that's all I have to do? It's the way that RocketDocs works with Word. It's very similar to what they're used to. It's very user friendly.
RFP Manager , Leading Global Bank
RocketDocs has competitors in the space. But none of them can do what RapidDocs does. I haven't found any that are as good in product suite. So RapidDocs, from my perspective, is pretty unique. It's a great tool. It can save you time. It can help you to do things a lot easier.
Vice President , Leading Global Bank
Problems are the same for all RFP teams: finding the correct data at the right time, and organizing data into useful libraries and subtopics. RocketDocs allows us to manage more than 10 different lines of business and keep our data organized and structured.
G2 Reviewer
After over 20 years of using different RFP database management systems, I am impressed with the usability and ease of organization in the system. The speed with which my team can locate and update responses is impressive.
G2 Reviewer
Cycle time on enterprise DDQs dropped from six weeks to under two. The private-AI architecture is the only reason our security team ever signed off on adding generative AI to the response workflow at all.
Head of Proposal Operations , Asset Manager (placeholder)
We run all of our institutional questionnaire responses through RocketDocs. Multi-affiliate library structure handles our three lines of business cleanly; SME assignment and review cycles keep content accurate without anyone having to babysit it.
Director, Sales Operations , Wealth Management (placeholder)
The Excel multi-tab handling is the feature that closed it for us. SIG Lite, SIG Core, CAIQ, our own customer questionnaires — all multi-tab, all native. The other platforms we evaluated either flattened the tabs or charged extra for the capability.
CISO , Enterprise SaaS (placeholder)
The audit trail is what finally got us off the spreadsheet-and-email pattern. When 21 CFR Part 11 reviewers ask who approved each answer and when, we have a real answer instead of digging through Slack.
Compliance Director , Life Sciences (placeholder)

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. The RocketDocs generative AI engine runs on Llama 3.3 hosted inside the RocketDocs environment. Your client data, AUM information, trading activity, and operational details are never sent to any third-party model providers.

How long does implementation take for a financial services firm?

Most financial services deployments are live within four to eight 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.

Ready to see RocketDocs for financial services?

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.