Prevent, Monitor, and Identify Employee Conflicts of Interest

The ComplySci Platform is a web-based compliance monitoring solution that tracks employee activities against your firm’s rules and regulations.

ComplySci eliminates information silos, streamlines operations, and gives CCOs and compliance teams a holistic view into employee risk.

The ComplySci Platform mitigates risks related to:

  • Personal Trading
  • Gifts and Entertainment
  • Political Contributions
  • Outside Business Affiliations
  • Marketing Materials
  • IPOs
  • Private Placements

Preclearance & Disclosures

Establish a digital process around the submission of preclearance requests and disclosures with a full audit trail of associated communications and outcomes.

  • Access to custom and out-of-the-box digital forms to collect the information that matters most to your compliance program.
  • Streamline approval workflows with automated rules so your team can focus on fewer requests.

Trade Monitoring & Testing

Follow your employees’ trade activity to prevent and proactively identify the potential misuse of material non-public information (MNPI).

  • Gain a full view of employee accounts through an unparalleled number of direct feeds with brokerage firms and an innovative statement tracker.
  • Reveal trends through trade activity and reconciliation reports.

Certifications and Attestations

Easily build digital certification forms and events, shifting your focus from chasing employees to strategic initiatives.

  • Leverage dashboards and reports to understand which employees have overdue certifications, and quickly send follow-ups as needed.
  • Automatically monitor questions to flag unexpected responses and set up conditional questions to make informed compliance decisions.

Compliance Reporting & Analytics

Run compliance reporting with ease for internal audits, management meetings, and examinations.

  • Export visual analytics, dashboards, and ad-hoc reports to quickly share pertinent compliance information.
  • Document a full audit trail of employee activity and compliance communications to comply with books and records requirements.

The ComplySci Difference

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Data Interoperability & API’s

ComplySci’s 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.

Direct Broker Feeds

With integrated direct broker feeds from more than 200 brokerage firms and a robust data normalization process, ComplySci provides unrivaled information accuracy and dependability.

Superior User Experience

Built on a mobile-first architecture, ComplySci ensures a frictionless experience for you and your employees, making compliance easy and painless.

Platform Innovation

Incorporating direct feedback from our 1,400 clients, we implement the enhancements that matter most to our clients every few weeks.

ComplySci Data Services

Our Data Services team leverages a combination of OCR technology and human oversight to enter and update data on behalf of our clients accurately and efficiently.

Award-Winning Customer Service

Our dedication to service and extensive industry knowledge allows the ComplySci team to provide our clients with the highest levels of customer support.