Employee compliance for the financial services sector

Whether you have 50 employees or 5,000 – monitor verify and mitigate employee trade risk with precision and accuracy.  

Our employee compliance solutions mitigate risk associated with:

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Personal trading

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Private investment

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Gifts and entertainment

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Conflicts of interest

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Outside business affiliation

Managing material non-public information

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Marketing material

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Insider trading

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Political contributions

A compliance command center for today's workforce

Compliance command center

Trade monitoring

Trade monitoring

Certifications and attestations

Certifications and attestations

Compliance reporting, archiving and analytics

Compliance reporting and analytics

Monitor firm-wide activity and MNPI

Monitor firmwide activity and MNPI

Automatically identify instances of market abuse

Risk management
ComplySci Spotlight: Monitor and mitigate employee trade risk.

Don't take our word for it

ComplySci – A partner as meticulously detail-oriented and driven as you.

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Data interoperability and APIs

Powerful integration capabilities facilitate data connections between ComplySci and other HR, expense and order management platforms, such as Workday, Concur and Intapp's DealCloud. Enhance capabilities with secure integrations to accommodate black box firm trading algorithms and additional data needs.
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Direct broker feeds

Integrated direct broker feeds from more than 200 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
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Superior user experience

Our mobile-first approach ensures a frictionless experience for you and your employees, making compliance easy and painless.
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Platform innovation

Incorporating direct feedback from our more than 7,000 clients, we continue to perfect our solution, implementing the enhancements that matter most to you.
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Data services

Our Data Services team leverages a combination of optical character recognition (OCR) technology and human oversight to accurately and efficiently enter and update data on behalf of our clients.
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Award-winning customer service

Let us be an extension of your back office, receive support when you need it most from our dedicated subject matter experts.

Supporting documents