ComplySci Solutions

ComplySci Platform

Empowers Compliance Officers to stay ahead of risk by monitoring, managing and reporting on conflicts of interest arising from their employees.

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Personal TradingPersonal Trading
Private PlacementPrivate Placement
Gifts & EntertainmentGifts & Entertainment
Marketing MaterialsMarketing Materials
Outside AffiliationsOutside Affiliations
Political ContributionsPolitical Contributions
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Additional Offerings

Compliance Workstation 365

Allows Compliance teams to build out their compliance program in a calendar format and track compliance testing, monitoring and reporting in one solution. The 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. Very useful data during audit times.

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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.

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Best Execution

Automatically analyzes client trade data vs. 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

Scans characteristics of each account (e.g., holdings and trades vs. client profile) and signals when accounts fall outside of suitability, regulatory (if applicable) and/or investor guidelines. Portfolio Suitability enables complete compliance 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.

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