Solutions

The ComplySci platform is automated, flexible and scalable

Our platform eliminates information silos, streamlines your operations, and gives you a holistic view of employee risk.

Gain valuable insights from your data and navigate complex regulatory challenges. Our platform is a comprehensive solution for monitoring your firm’s Code of Ethics requirements and tracking employee activity against your firm’s rules and regulations.

The ComplySci Platform helps organizations monitor and administer:

  • Code of Ethics Certifications and Attestations
  • Personal Trading
  • Gifts and Entertainment
  • Political Contributions
  • Outside Business Affiliations
  • Marketing Materials
  • IPOs
  • Private Placements

The benefits of digital compliance monitoring and 360º employee risk management

Real-time Insights

Supervisor dashboards
Employee dashboards
Configurable reports

Infinite Scale

Localization for global teams
Multi-level global workflows
HR enterprise mapping integration
Compliance program management

Dynamic Risk Surveillance

Analyze individual critical behaviors
Modify compliance management workflows
Exception monitoring

Intelligent Automation

Increase productivity – only monitor exceptions
Eliminate paper burden
Incorporate new features as you scale and grow

Data

Direct broker feeds from 200+ sources
Greater coverage & uniform processing
Eliminates paper-based data

Superior User Experience

Seamless mobile access on any device
Frictionless user experience

Compliance Monitoring for Personal Trading & Risk Management
Compliance Anywhere

Mobile-first architecture

Employees today are busier than ever and constantly on the move. That’s why we built The ComplySci Platform from the ground-up on a mobile-first architecture, ensuring a seamless experience for your employees and compliance team, wherever they may be.

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Flexible Configurations

Hosting solutions

The choices vary by level of data segregation and deployment flexibility. All environments are similar in configuration and operation with the difference being how the application is hosted in the environment and level of separation desired. All hosting choices get the same outstanding support and application.

Reliable Data

Direct broker feeds

With electronic broker feeds from more than 200 sources and a robust data normalization process, our clients rely on the accuracy and integrity of the data underlying the employee trade monitoring process. Data is normalized and available to firms on a T+1 basis. In addition to feeds from brokerage and clearing firms, The ComplySci platform can also receive data directly from HR systems, order management systems, and FTP uploads. You can rest easy knowing that your compliance team has easy access to real-time data about the health of your broker feeds, so any problems can be addressed right away.

Compliance monitoring technology can get even better with these additional specialized solutions

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Political Contribution Verification

Automatically checks and analyzes campaign contributions and approves political contribution requests, as you monitor and adhere to “pay to play” regulations. A robust addition to political contribution monitoring capabilities.


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ComplianceWorkstation365

Build out your compliance program in a calendar format and track compliance testing, monitoring and reporting in one solution. Your compliance team can assign and track tasks, upload files, and add notes and recommendations with the ability to extract that same data using a number of easy-to-use filters.


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Best Execution

This enhanced financial technology feature helps you analyze client equity trade data versus market data and signals exceptions to client guidelines. Each analysis is performed on share, trade, aggregate ticket, trade by dealer, security and security type and portfolio or account levels. Custom reports on any data sets across any time periods. Allows managers to set custom alert thresholds to proactively identify undesired trends in best execution.


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Portfolio Suitability

Enables you to scan characteristics of each account (e.g., holdings and trades vs. client profile) and see when accounts fall outside of suitability, regulatory, or investor guidelines. Access a workflow with audit trails for trade review by manager, initiating cases and case management, on-demand reports and review of client profiles and exceptions management.