Introducing
the ComplySci Platform

An innovative risk management and compliance solution used by over 1,000 institutions globally to proactively identify risks and manage complex regulatory and compliance challenges.

Platform overview

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What sets us apart from other 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

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

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

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.

Solutions

ComplySci Platform
ComplySci Platform
Compliance Workstation 365
Compliance Workstation 365
Political Contribution Monitoring
Political Contribution Monitoring
Best Execution
Best Execution
Portfolio Suitability
Portfolio Suitability

Industries Served by
ComplySci

Our Clients Include
Leading Global
Financial Institutions

1000+Satisfied Clients and Counting

8Of the Top 10 Private Equity Firms Use ComplySci

97%Client Retention Rate

3Of the top 5
Hedge Funds
Use ComplySci

52Countries with Client Users

Actionable Risk
Management Advice

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

Download White Paper

Data Integrity: The Crux of Compliance and Risk Management

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Earning the C in CCO

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Industry Recognition

The ComplySci™ Platform is an innovative risk management and compliance solution used by over 1,000 institutions.

Blog

FINRA’s Examination Findings Highlight Both Suitability Concerns and Best Practices

In its recently-released, second-annual Report on FINRA Examination Findings, the Financial Industry Regulatory Authority (FINRA) highlighted observations gleaned from its firm examination program. …

Culture and Technology Best Practices to Mitigate Insider Trading Risk

Anyone who has been in the financial services industry for any length of time knows that insider trading is a perennial focus area for the SEC. Despite the agency’s efforts over the past several …

Unpacking the SEC’s Four-Year Strategic Plan

In its recently-released Strategic Plan, the SEC outlined and reiterated its commitment and focus on pursuing three primary goals over the course of the next four fiscal years: Understanding …

Latest News

ComplySci Experiences Record Revenue Growth In 2018

Firm saw 43% increase compared to 2017ComplySci, one of the fastest-growing providers of regulatory technology for financial and professional services companies, announces record revenue growth in …

ComplySci Announces Strategic Investment by Vista Equity Partners to Accelerate Growth in Regulatory Compliance Software Market

NEW YORK - ComplySci, the leading provider of regulatory technology for financial and professional services companies, today announced that it has received a strategic investment from Vista Equity …

ComplySci Appoints Amy Kadomatsu Chief Operating Officer

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 …

Our Valued Partners

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