What Sets Us Apart from Other Compliance Solutions?
The Risk Data Engine™: The Key to Compliance Program Effectiveness
Our proprietary Risk Data Engine™ sets the standard for Strategic Compliance Management by aggregating, enriching and normalizing vast quantities of data across a broad spectrum of sources. It creates a single, highly accurate and coherent repository of all the information needed to proactively manage complex regulatory and compliance challenges.
Our proprietary data management methodology and processes combined with our comprehensive and sophisticated Securities Master ensures the integrity of every data element that enters our risk repository.
Rich analytics provide insights into patterns, trends and exceptions resulting from employee activities. Early detection of anomalies and potential rule violations empowers compliance professionals to proactively mitigate risk.
Dynamic Risk Surveillance
The ComplySci Platform analyzes an individual’s critical behaviors and parameters to dynamically modify compliance management workflows based on each employee’s risk profile.
- ComplySci Platform
- Compliance Workstation 365
- Political Contribution Verification
- Portfolio Compliance
- Best Execution
- Portfolio Suitability
Industries Served by ComplySci
- Investment Banking
- Private Equity
- Hedge Funds
- Pension Funds
- Investment Managers
- Registered Investment Advisors
- Public Corporations
- Professional Services
Our Clients Include Leading Global Financial Institutions
What Our Clients Say About ComplySci
“I’ve been a long-time client at two different firms. ComplySci provides an excellent solution that adds value for registered investor compliance programs. I recommend them regularly to compliance colleagues.”Chief Compliance Officer
“Reviewing paper statements for personal trading monitoring used to be very labor intensive, but now with ComplySci we have saved more than 80% of that time to focus on more important compliance programs.”Chief Compliance Officer
“Working with ComplySci has been transformational in the way we administer our compliance program. We have reduced the time we were dedicating to a manual review of brokerage statements by an order of magnitude.”CFO/CCO
“The ComplySci platform offered exactly what we needed and I appreciated that the application could be tailored to fit our business needs. It was important that whatever was implemented was considered an industry best practice.”Chief Compliance Officer
Actionable Risk Management Advice
ComplySci is recognized by CFO Tech Outlook magazine as a Top 10 FinTech Solution Provider for 2018 in its annual listing of companies that are at the forefront of tackling customer...
Ron Gould, ComplySci’s European Chairman, featured in Risk.net article: Seniority complex: buy side balks at costs of SMR extension, Expansion of scheme will bring 47,000 firms in scope; compliance and recruitment costs set to...
European Chairman of ComplySci, Ronald Gould, was featured in FX-MM, discussing how RegTech is poised to takeover. Why? RegTech is easy to deploy, cost efficient, improves compliance team efficacy and creates incredible efficiencies.
Financial services firms have worked for decades to create and maintain cultures of compliance, with varying degrees of success. In a recent publication, “Transforming Culture in Financial Services,” the Financial Conduct Authority (FCA) explored the way culture is...
On 25 May 2018, the General Data Protection Regulation (GDPR), the European Union’s new data privacy regulation, will go into effect. From that day forward, firms that handle data from citizens or residents of EU countries will be bound by the new rules. Failure to...
In February, FINRA issued Regulatory Notice 18-08, requesting comments on a new rule that would replace current rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person.) If the new rule becomes...