Compliance teams need to always be prepared and arm their teams with the best tools to address the evolving landscape.
Break down data silos and manage all compliance activities on a single customizable platform.
Proactively identify any potential conflicts of interest and market abuse.
It’s not enough to preclear or self-report political contributions. Firms must also monitor and verify them.
Benefits of direct brokerage feeds
for employee trade monitoring.
Effective compliance management requires a solution that seamlessly maps to a firm's current organizational structure.
Case Management allows Compliance Officers to take swift action on potential compliance issues.
ComplySci’s certifications module was designed to meet the needs of firms large or small, at any sophistication level.
Compliance Program Management gives compliance leaders full transparency into the department’s activities.
Easily capture employee functions and responsibilities through the creation and distribution of digital SM&CR forms.
These are some of the most frequently asked questions we hear from prospective clients when transitioning to ComplySci.
Manage the submission, review, approval, and archiving of external facing materials.