Track projects and evidence compliance with regulators

ComplySci Compliance Program Management is a calendaring and task management technology solution that provides full transparency into compliance responsibilities, deadlines, results, and follow-up actions.

Leverage our compliance monitoring software to tie tasks to specific regulations, policies, and procedures. Prevent your compliance program from becoming outdated and verify compliance with regulatory expectations including Annual Compliance Reviews under SEC Rule 206(4)-7.

Compliance Program Management enables compliance professionals to seamlessly:

  • Schedule, assign, and categorize recurring or ad-hoc tasks and activities
  • Document the testing of policies, procedures, and outcomes
  • Streamline compliance investigations and annual compliance reviews
  • Log meetings and conference calls with associated documents and notes
  • Create a CCO activity log
  • Meet regulatory filings and deadlines
  • Identify potential gaps and opportunities for improvement in your compliance program
Compliance Management Software

Multiple Levels of Approval

Create a customized approval workflow for regulatory reporting

When a team member completes a compliance task that requires review, such as quarterly 13-f reporting or annual form ADV filing, Compliance Program Management will alert the approver that a document is ready for review.

Build an workflow that fits your team’s structure and ensures reports are properly approved.

Calendar Hierarchy

Create multiple calendars that roll up into a master view

Compliance Program Management supports several calendar levels so that you can toggle between the responsibilities of specific individuals, teams, regulatory bodies, offices, and more.

Customize views so that individual team members need only sees the calendars relevant to their role, while allowing Compliance Leaders to access all activities.

Complete Customization

Satisfy your firm’s nuanced requirements

Leverage various filters to pull custom reports to meet different requirements, and easily access departmental activities, including associated outcomes and follow-up actions.

Tailor Compliance Program Management to meet your firm’s unique needs, including the incorporation of firm-specific or department-specific projects and language.