Meet the compliance solution as detail oriented as you are.

A comprehensive compliance solution to match​ your complex regulatory burdens. 

Details covered. Conflicts checked. Risk mitigated.

ComplySci’s comprehensive suite of solutions arms institutional firms with the collective capabilities of technology, managed services and education to effectively navigate regulatory complexities and ensure the precision and accuracy demanded by regulators. 

Dependability is our middle name - and we have the stats to back it up.

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Direct broker feeds.
Check list.
Reduction in time spent on data gathering and reporting.
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Reduction in internal IT time needed to support the compliance solution.
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Reduction in time spent on-boarding and off-boarding employees.

Who we serve

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Hedge funds

Our advanced hedge fund compliance software helps alleviate the administrative burden and provides solutions for financial risk management.
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Private markets

Unlock your data and gain a comprehensive view into employee trading, political contributions, outside business affiliations, marketing materials, initial public offerings and more.
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Private equity

Implement, monitor and track all aspects of your compliance program to ensure your compliance program is an asset, not a liability.
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Investment advisers

Our investment adviser solutions empower investment advisers to stay ahead of compliance risks, helping to gain and maintain client trust with thorough due diligence and regulatory monitoring.
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Our solutions help firms navigate the regulatory landscape where compliance failures have brought severe penalties, lawsuits and reputational damage.
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Investment banks

Our compliance offerings provide the same safety and security investments banks have always prided themselves on.
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Institutional investors

The world of institutional investments is complex and includes a regulatory environment, which can be difficult to navigate on your own.
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Insurance companies

Our insurance compliance solutions are specifically designed to reduce risk, maintain customers' trust and drive efficiency.
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UK markets

Meet heightened FCA compliance requirements, protect your reputation and grow client trust with customized process and workflows, and data insight.

Don't take our word for it

Your technology partner and beyond

Move beyond reactive compliance tactics to achieve strategic regulatory goals with a single, comprehensive compliance partner who is as dedicated to the details as you are. ComplySci offers a market-leading host of technology solutions, data tracking and managed services to give you the tools, resources and expertise to take on today's toughest regulatory challenges and meet your firm's unique compliance needs.


  • Personal and firm trading
  • Cryptocurrency
  • Private investment
  • Gifts and entertainment
  • Conflicts of interest
  • Outside business affiliation
  • Managing material non-public information 
  • Marketing rule
  • Insider trading
  • Policies and procedures management
  • Filings (Form ADV, PF, 13F, CRS, Blue Sky, etc.)
  • Annual reviews
  • Risk assessments

Compliance program management

  • Reporting wall and audit trail
  • Wall crossing 
  • Deal and activity logging
  • Restricted list management
  • Calendar hierarchy
  • Certifications and attestation
  • Compliance communications
  • Mobile accessibility

Comprehensive capabilities

  • Cybersecurity
  • Vendor due diligence
  • Virtual desktop
  • State RIA registration
  • SEC RIA registration
  • RolloverAnalyzer
  • IAR Continuing Education

Managed services

  • System configuration and customization
  • Processing rules and alert setups
  • Report creation
  • Data feed setups
  • Change management
  • Consulting

Compliance demands precision. We deliver.

ComplySci, a COMPLY company, delivers the most exacting, comprehensive compliance software solution on the market for financial professionals. As you navigate the regulatory compliance landscape – we’ll be right there with you.