Introducing the ComplySci Platform

The ComplySci™ Platform is an innovative risk management and compliance solution used by over 800 institutions globally to proactively identify risks and manage complex regulatory and compliance challenges.

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Love ComplySci? Vote for us in the 2017 Benzinga Fintech Awards!

Best Regtech Solution and Best Analysis Platform & App

 

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.

Data Integrity

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.

Real-time Forensics

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.

Industries Served by ComplySci

  • Investment Banking
  • Insurance
  • Private Equity
  • Hedge Funds
  • Pension Funds
  • Investment Managers
  • Registered Investment Advisors
  • Brokerage
  • Public Corporations
  • Professional Services

Our Clients Include Leading Global Financial Institutions

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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

Top Ten Private Equity Firm, Boston

“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

Money Management Advisory Firm, Atlanta

“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

Venture Capital Firm, Silicon Valley

“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

Money Management Advisory Firm, LONDON, UK

Actionable Risk Management Advice

Data Quality: Overcoming the Biggest Hurdle for
Compliance and Risk Management

What You Need to Know About
Market Abuse Regulation

Are you Certifiable? Stress Free Compliance Using Technology Driven Certifications & Attestations

Industry Recognition

News

Get ready for the RegTech takeover [FX-MM]

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.

Blog

Employee Personal Trade Monitoring: Can You Trust Your Brokerage Data?

So you are collecting your employees’ brokerage statements for review according to the Investment Advisers Act of 1940 rule 204a-1. In fact, you’re a step ahead because you’re collecting this data through direct feeds or using a 3rd party provider – the most reliable...

Reason #3 to Love ComplySci: World Class Clients

ComplySci proudly serves over 800 financial institutions spanning 52 countries around the globe including 3 of the top 5 hedge funds and 8 of the top 10 private equity firms. Our clients represent compliance excellence with thought leaders, experts, and industry leaders among their ranks.

Reason #2 to Love ComplySci: Customer Success

The ComplySci Customer Success team is truly dedicated to YOUR success. Far too often we encounter customer service that involves multi-day turnaround times, confusing web portals and half answers. That is why we made the decision to do things differently and never put our clients through the struggle…

Our Valued Partners