Founder and Chairman of Smarsh and CMO of Advisor Group to Provide Strategic Guidance to ComplySci Executive Team, Supporting Company’s Continued Expansion

Board Additions Follow $120 Million Growth Investment in ComplySci by Leading Private Equity Firm, K1 Investment Management

New York, N.Y. – August 5, 2021 – ComplySci (the “Company”), the leading provider of regulatory technology and compliance solutions for the financial services sector, announced today it has added two new members to its Board of DirectorsStephen Marsh, Chairman and Founder of the electronic communications archiving provider Smarsh, and Susan Theder, Chief Marketing Officer of Advisor Group, the nation’s largest network of independent wealth management firms. The pair of appointments follow the $120 million strategic investment in the Company in June by K1 Investment Management, a leading investment firm focused on high-growth enterprise software companies.

Mr. Marsh and Ms. Theder bring deep industry knowledge and expertise to the board and will help the Company execute its long-term growth strategy as it continues to build its employee compliance solutions for financial services enterprises and considers expansion through acquisitions.

ComplySci CEO Amy Kadomatsu said, “We are proud to welcome Stephen Marsh and Susan Theder to the ComplySci Board of Directors at this pivotal time in the company’s history. The financial services space has rarely seen as complex a regulatory environment as it finds itself in today, and firms have never been in greater need for the unique platforms and tools that ComplySci offers to streamline their compliance efforts. Steve and Susan, by virtue of their long careers in leadership roles at successful organizations within industries we serve, bring new energy and intellectual firepower to our team, and we look forward to collaborating with them for years to come.”

Mr. Marsh founded Smarsh in 2001 after serving in key product roles at Fidelity Investments and Corporate Communications Broadcast Network. Smarsh leverages sophisticated monitoring, archiving and supervision technology to automate and streamline financial services enterprises’ efforts to retain and monitor communications across traditional and emerging channels. Today, Smarsh is a trusted partner to more than 6,500 enterprises around the globe, interfaces with more than 80 communications channels and manages billions of messages per day. It is a K1 portfolio company.

Mr. Marsh said, “ComplySci has a strong track record of delivering the crucial compliance solutions that financial services enterprises need to address the inherent inefficiencies in the traditional compliance process. Under Amy Kadomatsu’s leadership, along with the support of K1 Investment Management, the Company is poised for ongoing robust growth solidifying its position as the provider of choice for automated regulatory and compliance solutions in the financial services space.”

Ms. Theder has served since 2016 as Advisor Group’s CMO, following tenures at Cetera Financial Group, Pershing and Fidelity Investments. In addition to leading numerous strategic marketing initiatives at Advisor Group, she has spearheaded the development and launch of MyCMO, a turnkey digital marketing platform offered to the network’s 10,000-plus financial advisors. During 2020, MyCMO subscribers saw year-over-year revenue growth rates approximately 50% higher on average than non-subscriber growth rates. Ms. Theder was named Wealth Management’s CMO of the Year in 2019, as well as an InvestmentNews Woman to Watch. At Advisor Group and in prior roles, she has been instrumental in supporting the greater participation and career advancement of women in the wealth management industry. In 2020, she was appointed to the Smarsh Board of Directors.

Ms. Theder said, “The leadership team at ComplySci is exceptionally strong, and I am very excited to work alongside Amy as they extend their leadership position providing innovative employee risk management solutions to the financial services industry. In this increasingly regulated environment, ComplySci has a tremendous opportunity to help chief compliance officers and their teams at hedge funds, private equity firms, RIAs, and broker-dealers save valuable time while decreasing their firms’ risk profile. I’m honored to be part of the ComplySci team and excited to increase the awareness of their industry-leading solutions.”  

About ComplySci

ComplySci is a leading provider of regulatory technology solutions that help compliance organizations identify, monitor, manage and report on conflicts of interest arising from employee activities, including personal trading, gifts and entertainment, political contributions, outside business affiliations, and other code of ethics violations. Founded in 2003 by early pioneers in the development of automated compliance management solutions, ComplySci is now trusted by over 1,400 customers, including some of the world’s largest financial institutions. Compliance Officers rely on ComplySci’s scalable and sophisticated platform to stay ahead of risk.

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