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.
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
This webinar occurs on December 1, 2016 @ 11:00am PT / 2:00pm ET / 7:00pm GMT Join ComplySci and FrontLine Compliance for a webinar on issues at top of mind for Private Equity firms of all sizes and complexities. As SEC registered PE firms continue to comprehend and...
REGISTER Now July 21 @ 1:00pm EDT / 10:00am PDT / 6:00pm BST Join us to hear our distinguished panel of experts discuss the following key topics: Best practices in developing your periodic compliance reporting. Effective interactions to cultivate with senior...
REGISTER Now 12 July @ 2:30pm BST / 9:30am EDT Compliance Science and ComplyPort, together with Intersol Global are excited to announce a partnered webinar on Whistleblowing in 2016. The discussion will aim to give Compliance Managers a transatlantic perspective on...
Digiterre Communica are excited to announce the first of our guest speakers for our Regulatory Compliance Breakfast Forum. Keynote speaker, Ronald Gould from Compliance Science. Date: Wednesday 20th April Venue: Millennium Hotel, London Mayfair, Grosvenor Square,...
Compliance Science, Inc. is hosting a February webinar entitled, "Navigating Your Next SEC Exam". The webinar conversation will focus on a range of considerations that represent the end-to-end lifecycle of an exam. Notable areas of discussion include: ▪ Overview of...
ComplySci Europe's Chairman, Ronald Gould, was featured in Compliance Monitor on September 7, 2016, discussing the impacts of Brexit on the Market Abuse Regulation (MAR), released 3 July 2016. Ronald also provides a deeper dive into what the MAR is, who and what it...
Expecting regulators to prevent banking frauds is ‘naive and optimistic’ , says former FSA advisor [IBTimes]
ComplySci's European Chairman, Ronald Gould, shares his expert opinion with International Business Times on the ability for regulators to prevent fraud before it happens, as well as regulators' capabilities overall. According to Gould, we cannot expect that up against...
ComplySci's Ronald Gould was featured in Compliance Reporter, discussing the implications of Brexit on Investment Advisors.
ComplySci's new CEO, Jean-Marc Levy, was featured in Waters Technology on July 13th, 2016. Jean-Marc discussed his plans for the company, expansion into Europe and the development of the company's brand new, cutting-edge compliance and risk management platform,...
The announcement of ComplySci's new CEO, Jean-Marc Levy, and CFO, Robert Mattes, was covered by Fund Operations on July 13th, 2016. Click the button below to check it out.
Commentary by Scott Seibel, Vice President, ComplySci If you missed this year’s NSCP Annual Conference in Washington, D.C., it can be summed up with one key word – technology. In fact, technology has become such a key component to the compliance industry that the...
The United States government is taking another pass at defining what exactly constitutes insider trading – and nearing resolution on one aspect of this challenge at the highest of legal authorities, the Supreme Court. What began in 2014 with the highly publicized...
In July, FINRA launched a disciplinary proceeding against a prominent brokerage firm and its chief compliance officer. The primary offense listed was that over a three year period the firm “has numerous supervisory deficiencies.” More specifically, the firm failed to...
After announcing the exciting new hire of our CEO Jean-Marc Levy two weeks ago, we thought it would be a good chance to share a bit more about his background and what he hopes to achieve at ComplySci. Tell us a little bit about your background. I am a...
To access the slides and recording from this webinar on July 21, 2016 CLICK HERE. ComplySci partnered with Compliance Risk Concepts for a webinar on elevating compliance programs through reporting to the board of directors and senior management. Jean-Marc Levy, CEO,...