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
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.
RegTech is a term that has exploded into the asset management industry vernacular since the 2008 financial crisis. The term describes technological solutions designed to facilitate compliance with regulatory initiatives implemented in response to the crisis.
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.
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...
In 2012, the SEC examined approximately eight percent of registered firms. In 2017, approximately 15 percent of RIAs were examined, despite an increase in the number of registrants and the agency's limited resources. How did they manage to nearly double the percentage...
The Financial Conduct Authority (FCA) recently launched a call for input, asking how financial services providers believe using technology could ease the burden of filing regulatory reports while simultaneously improving the quality of reported information. With more...