Meet the compliance solution as detail oriented as you are.
Details covered. Conflicts checked. Risk mitigated. ComplySci's regulatory solutions and service offerings eliminate information silos, streamline operations and give chief compliance officers and compliance teams a holistic view into employee risk.
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.
Solutions
- 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 RIA 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
Perfecting the business of compliance for financial services.
Compliance is all in the details – so are we. ComplySci’s scalable platform automates your strategic compliance efforts to empower your team to efficiently navigate changing regulations and unlock the strategic potential of your data. Welcome to compliance powered by ComplySci.
Dependibility is our middle name - and we have the stats to back it up.
Direct broker feeds.
Reduction in time spent on data gathering and reporting.
Reduction in internal IT time needed to support the compliance solution.
Reduction in time spent on-boarding and off-boarding employees.
Who we serve
Hedge funds
Our advanced hedge fund compliance software helps alleviate the administrative burden and provides solutions for financial risk management.
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.
Private equity
Implement, monitor and track all aspects of your compliance program to ensure your compliance program is an asset, not a liability.
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.
Broker-dealers
Our solutions help firms navigate the regulatory landscape where compliance failures have brought severe penalties, lawsuits and reputational damage.
Investment banks
Our compliance offerings provide the same safety and security investments banks have always prided themselves on.
Institutional investors
The world of institutional investments is complex and includes a regulatory environment, which can be difficult to navigate on your own.
Insurance companies
Our insurance compliance solutions are specifically designed to reduce risk, maintain customers' trust and drive efficiency.
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
“Moving to ComplySci has allowed us to do more complex surveillance. The customization is incredible. ComplySci is as customizable as you want it to be."
“It’s so easy to pull required items upon request from ComplySci, and I don’t have to worry about the possibility of human error, which is huge, especially knowing how distracted we can get working from home these days.”
Compliance demands precision. We deliver.
ComplySci, a COMPLY company, delivers the most exacting and complete compliance software solution on the market for financial professionals. Together, COMPLY's portfolio of firms provide the technology, consulting and education solutions you need to mitigate risk and raise the bar for your compliance program.