Compliance teams need to always be prepared and arm their teams with the best tools to address the evolving landscape.
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.
It’s not enough to pre-clear or self-report political contributions. Firms must also monitor and verify them.
ComplianceWorkstation365 gives CCOs and other compliance leaders full transparency into the department’s activities.
Automate the otherwise labor-intensive process of analyzing equity trade data against market data.
Helps supervisory personnel automate the analysis of client and household investment profiles for suitability.
These are some of the most frequently asked questions we hear from prospective clients when transitioning to ComplySci.