Isn’t it time to upgrade your compliance software solution?

Explore an alternative to Schwab Compliance Technologies


Go beyond a basic code of ethics solution and demonstrate a culture of compliance with ComplySci’s modern and intuitive SaaS solution that can help eliminate process headaches, simplify your workday, and enhance the effectiveness of your compliance program.

What distinguishes ComplySci from Schwab Compliance Technologies? Let’s take a look.

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ComplySci Features

Easy to use

Users love ComplySci’s modern and intuitive interface. Built on a mobile-first architecture, ComplySci ensures a frictionless experience for you and your employees whether you’re at your desk, in your home office, or on the go, making compliance easy and painless. Flexible features, customizable modules, and comprehensive data let you monitor everything you need in one system.

Integrated, accurate, and accessible

Don’t waste time following up on false trade notifications or executing manual processes in an outdated interface. Automate and streamline compliance monitoring so you can focus on strategic initiatives. With more than 200 direct broker feeds available in ComplySci, robust data normalization processes, mobile access, and 24/5 customer support you know your data is accurate, accessible, and secure.

Check for conflicts across workflows

Stop hunting for potential conflicts across multiple spreadsheets and siloed systems while wondering what you might have missed. ComplySci’s integrated Conflict Check finds potential conflicts of interest across all of your data with a single click. Proactively surface any potential conflicts while carrying out your core Code of Ethics responsibilities, without additional steps.

Data interoperability and APIs

ComplySci’s powerful integration capabilities facilitate data connections between ComplySci and other HR, Expense, and Order Management platforms, such as Workday and Concur. Streamline processes, reduce time spent on administrative tasks, and integrate compliance data throughout your organization.

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Case Studies

Mobile-First Compliance: How ComplySci is Helping Audax Group Mitigate Risk

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Since making the transition from Schwab Compliance Technologies to ComplySci, Audax Group has been able to build a more robust compliance program.

We spoke to Jason Scoffield, CCO at Audax, about how ComplySci’s mobile-optimized UX and customizable certifications have enabled the firm to demonstrate compliance while saving time and resources.

“The ComplySci interface is simple and intuitive, and that impressed us the most. ComplySci is much easier to understand and navigate than other solutions.”

Jason Scoffield, Chief Compliance Officer, Audax Group

ComplySci Helps VSS Capital Partners Build a More Efficient Compliance Program

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Frustrations with Schwab Compliance Technologies led VSS Capital Partners to make a move to ComplySci. Since making the switch, VSS has seen increased employee engagement and less time spent on manual tasks.

We spoke with Jacqueline Jacobs, Chief Compliance Officer and Director of Operations at VSS Capital Partners, about how ComplySci’s intuitive UI and 200+ direct broker feeds enabled a more efficient compliance program.

“The customer service at ComplySci is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.”

Jacqueline Jacobs, Chief Compliance Offier and Director of Operations, VSS Capital Partners

“I love that ComplySci has created a culture that solicits feedback in order to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows.”

David Becker, Chief Technology Officer, CFI Partners
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ComplySci Difference

RegTech Experts

We live and breathe regulatory technology and data. Deep industry experience across our family of firms, including ComplySci, NRS, a ComplySci Company, illumis, a ComplySci company, and RIA in a Box, enables us to uniquely understand our compliance community and offer a full suite of governance, risk, and compliance consulting, technology, managed services, analytics, and outsourcing solutions.

Compliance is our business. We’re dedicated to innovating the compliance process and bringing efficiency to our customers. We know what financial services compliance teams really need, and we actively develop and implement the enhancements that matter most to our clients every few weeks.

Seamless Migrations, Award Winning Customer Support

Our experienced Migrations Team is dedicated to ensuring your move to ComplySci is seamless, working with you to create a customized implementation plan that addresses your firm’s unique needs and improves your compliance workflows. Our award winning, global customer support and success teams help you get the most out of ComplySci with guidance, training, and recommendations whenever, wherever you need them. No need to make an appointment in advance.

Time Savings
ComplySci users report a 60% reduction in the time spent on data gathering and reporting.
Direct Broker Feeds
Integrated electronic feeds from 200+ sources means unrivaled accuracy and dependability.
Reduction in time spent monitoring employee activity.
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ComplySci vs. Schwab Compliance Technologies

As a Schwab Compliance Technologies alternative, ComplySci makes it easy to streamline and automate your compliance program. Mobile-first design ensures a frictionless experience, and global customer support provides guidance whenever, wherever you need it.