Broker Dealer Compliance

Compliance Monitoring Solutions

for Insurance Companies

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Navigating the regulatory compliance landscape can be difficult for insurers, especially for insurance companies and agencies operating in multiple jurisdictions. Ongoing uncertainty about proposed legislation adds another level of complexity.

Without a robust compliance program, you risk regulatory actions including fines or censures. ComplySci’s compliance software solutions are designed to help you meet oversight obligations, ensure agents’ activities comply, and keep your customers safe.

“Compliance modernization helps companies pursue their core mission and achieve compliance as efficiently and effectively as possible by ‘thinking forward’ and then harnessing the best available compliance practices and technologies to comply with current and future regulatory requirements.”

2019 Insurance Regulatory Outlook, Deloitte

Reduce Risk

Protect Your Reputation

Protect your firm from potential risks associated with employee personal trading, gifts and entertainment, political contributions, and outside business activities. Monitor to ensure employees are complying with your code of ethics policy and stay ahead of any potential risks such as insider trading and front-running.

COMPETITIVE EDGE

Gain a Competitive Advantage

With a robust compliance management system in place, your customers can rest assured knowing that you are taking steps to ensure ethical behavior. Leverage your digital compliance to elevate your business.

DRIVE EFFICIENCY

Streamline Your Processes

Our clients reduce the amount of time spent on data gathering by 60% on average. Leverage our software for compliance monitoring to respond to changing regulatory requirements with confidence and agility. Create workflows easily, integrate compliance monitoring systems, and support scale.