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
New York – July 9, 2018 - ComplySci, a leading provider of technology solutions that help financial services organizations stay ahead of risk, today announced that Amy Kadomatsu has joined the company as Chief Operating Officer. With an extensive...
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...
If your firm is subject to Rule 17j-1 (Personal investment activities of investment company personnel), it’s probably not the compliance team’s favorite rule. Rule 17j-1, like its counterpart in the Investment Adviser’s Act, Rule 204A-1, can be labor-intensive and...
When Compliance Officers build and assess their firms’ compliance programs, there is often significant emphasis placed on ensuring codes of ethics, outside business activities oversight, and personal trading procedures and requirements that are designed to prevent and...
The Financial Conduct Authority (FCA) has been reviewing the effects of the Markets in Financial Instruments Directive II (“MiFID II”) on the behaviour of market participants, especially as it relates to research spending and corporate access. As a result, compliance...