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 compliance monitoring solution and tracks 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 dashboardsrnEmployee dashboardsrnConfigurable reports

Infinite Scale

Localization for global teamsrnMulti-level global workflowsrnHR enterprise mapping integrationrnCompliance program management

Dynamic Risk Surveillance

Analyze individual critical behaviorsrnModify compliance management workflowsrnException monitoring

Intelligent Automation

Increase productivity – only monitor exceptionsrnEliminate paper burdenrnIncorporate new features as you scale and grow

Data

Direct broker feeds from 200+ sourcesrnGreater coverage & uniform processingrnEliminates paper-based data

Superior User Experience

Seamless mobile access on any devicernFrictionless 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.

server room with dim lighting
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 and auditing 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.