ComplyConnect Compliance Conference

Meet the ComplySci family of firms: Leaders in compliance technology, consulting and education

At ComplySci, we live and breathe compliance and data. In fact, our dedication to regulatory compliance innovation has been one of the biggest drivers in making us a leader in the compliance technology space, serving investment advisers, hedge funds, broker-dealers and more.


Our mantra? We believe that advanced compliance technology empowers chief compliance officers (CCOs) and compliance professionals to more effectively accomplish the (sometimes impossible) day-to-day tasks that come with regulatory compliance in 2022. How? By providing a support mechanism that is as accurate and dependable as they are.


Since we were founded, we have set out to offer our customers the most holistic solutions on the market – providing a world-class product roadmap to support changing compliance needs. Because whether they were a small advisory firm looking to modernize or a large scale hedge fund with complex compliance requirements, we wanted to provide the answer to their most critical compliance challenges.


In 2021, we began partnering with companies that shared that same vision.

All of our companies understand that technology isn’t always the answer by itself. In order to succeed, some clients require a combinations of resources, which has translated to the creation of our three pillars of regulatory compliance:

  • Technology provides firms with the tools they need to manage their compliance programs.
  • Consulting provides firms with customized and practical guidance that they can leverage to evaluate and strengthen their compliance programs.
  • Education keeps firms up to date on what’s new in the world of compliance and how these updates might affect them.

Now that you know a bit about how we view compliance, let’s introduce you to the family of firms.

ComplySci

Founded in 2003 by early pioneers in the development of automated compliance management solutions, ComplySci is now trusted around the globe by over 7,000 customers, including some of the world’s largest financial institutions. CCOs rely on our automated and scalable platform to manage, mitigate and forecast risk, efficiently navigate changing regulations, and unlock the strategic potential of their data.

NRS

Founded in 1984, National Regulatory Services (NRS) is an advanced provider of compliance and registration products and services for investment advisers, broker-dealers, hedge funds, investment companies and insurance institutions. NRS delivers integrated and effective compliance solutions to a wide range of users within the financial services industry. NRS delivers these solutions through three interrelated offerings – comprehensive education, outstanding technology, and expert consulting services – enabling our clients to meet their regulatory requirements and minimize risk.

RIA-in-a-Box

RIA-in-a-Box (RIAB) was formed in 2005 and since then has become the leading provider of compliance and operational software to wealth managers and investment organizations. RIAB takes pride in partnering with clients to establish and support the highest quality RIA firms in the country. Here are some quick facts about RIAB. Since its inception, RIAB has:

  • Helped over 4,000 investment advisers start an RIA firm.
  • Provided ongoing monthly compliance assistance to over 2,000 SEC and state-registered RIA firms across the country.
  • Helped over 2,600 RIA firms increase compliance workflow efficiency and automate regulatory requirements using the RIA platform.

illumis

Without a technological solution to monitor and analyze political contribution data, financial services firms are left to manually scour for information on their employees. Founded in 2016, the illumis platform resolves that problem by aggregating public political contribution data and other public records onto an easy-to-navigate platform. All of which, allows CCOs to easily identify contributions from their employees and other associated individuals which potentially could draw scrutiny and subsequent penalties from regulators.

ITEGRIA

ITEGRIA was formed in 2007 to meet the technology and information security demands of its clients. ITEGRIA is a leading provider of cloud-based virtual desktop solutions and specializes in serving registered investment advisors (RIAs) across the United States. From backup solutions to vulnerability scanning, around-the- clock monitoring to data recovery, ITEGRIA offers a breadth of thorough systems.

Together, our companies strengthen and expand each other’s ability to support our clients’ compliance needs. Here’s why we work together so well.

  • We bring together the industry’s most experienced professionals to create a full suite of technology, consulting and education solutions for firms.
  • Our combined solutions allow us to deliver exceptional solutions that not only mitigate risk but elevate the role of compliance, enabling smarter business decisions and helping firms avoid the potentially severe consequences of violating regulations.
  • Together, we’re defining how firms manage their compliance programs.

In the words of ComplySci CEO Amy Kadomatsu, “Together, we’re stronger than ever, and we’re excited to take the industry by storm with our unmatched scale, expertise and ability to innovate.”

Think one of our solutions might be right for your firm? Schedule a demo today!