Bank Regulatory Compliance

Compliance Software Solutions

for Investment Banks

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Investment Banks are complex organizations that face an equally complex regulatory environment. Compliance leaders and teams need the agility to proactively implement institutional compliance solutions to avoid the serious fines and reputational damage associated with regulatory failures. US and global banks are not only subject to regulations such as the SEC’s Investment Advisors Act or local regulator rules, but their compliance teams are also expected to build and maintain a strong culture of compliance across diverse groups of employees.  

ComplySci helps compliance leaders monitor ethics and compliance, building customized workflows around firm policies. Our compliance monitoring software empowers compliance teams to focus on data insights rather than data management. And with tools built to track conflicts of interest related to personal trading, gifts and entertainment, political contributions, outside business activities, marketing materials, IPOs, and private placements, ComplySci ensures that no potential risks or conflicts of interest go unnoticed. 

“The rules of the road have changed, and leading Compliance organizations are embracing a new, innovation-driven mindset.” 

Accenture 2018 Compliance Risk Study 

Reduce RIsk

Protect Your Reputation

Regulators are increasingly leveraging technology and data metrics prior to examinations to identify non-compliant activity that your firm may not be aware of. For example, by automating compliance workflows and flagging problem behaviors such as misuse of MNPI, ComplySci can help to implement policy best practices, allowing teams to identify and address potential risks before they are uncovered during an examination.

drive efficiency

Streamline Your Processes

Our clients reduce time spent simply gathering data by 60% on average. Leverage our platform to respond to changing financial regulatory compliance with confidence and agility – create workflows, integrate compliance monitoring systems, and support new geographies.

Shift your Focus

Elevate the Role of Compliance

If you oversee compliance at an investment bank, credit union, or other deposit institution, you need compliance monitoring tools designed to help you meet your regulatory obligations and help the firm free up resources to focus on revenue-generating activities. Go beyond administrative compliance and actively support your institution with a comprehensive compliance program backed by the ComplySci solution.