The ComplySci Platform

Gain a holistic view into risk with a robust compliance monitoring solution for chief compliance officers and compliance teams.

• Gain immediate insights into firm activities with COMPLY Widgets – customizable data visualizations on your compliance dashboard
• Establish and document digital processes for employee compliance activities, regulatory requirements, and firm-wide monitoring
• Export visual analytics, dashboards and ad-hoc reports, and document a full audit trail

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 policies and procedures
• Streamline approval workflows with automated rules so your team can focus on fewer requests

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 the industry’s largest network of direct feeds with brokerage firms and an innovative statement tracker
• Reveal trends through trade activity and reconciliation reports

Easily build digital certification or attestation 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

Whether you’re a Private Fund, RIA, or any other type of financial institution, you need a solution to manage the full scope of your firm’s compliance program. Stay on-task and ahead of risk with an all-in-one solution for total compliance program management.

• Keep critical compliance tasks on track with the Compliance Calendar, which automatically populates and continuously updates deadlines, requirements, and compliance guidelines tailored to your firm’s policies and procedures
• Be exam ready when you need to be with an easily generated report from our Risk Assessment Tool
• The integrated Annual Review Tool is a guided, digital, and documented annual review solution to keep you in compliance with SEC Rule 206(4)-7

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

Leverage an integrated solution that tracks firm activities alongside employee activities to proactively identify potential conflicts of interest and market abuse.

• Collect and organize information on firm deals, employee meetings, and MNPI access to automatically identify instances of market abuse or other potential conflicts
• Facilitate a request and disclosure workflow for employee wall-crossing
• Seamlessly add deal-related securities to restricted lists and flag securities that should be added to a list
• Easily export insider lists and a timeline of firm deals alongside related activities and communications

Leverage digital processes and automated distribution to effectively comply with the FCA’s Senior Managers and Certification Regime.

• Assign senior manager functions, log roles, and track responsibilities
• Conduct fitness and propriety assessments, monitor status, and certify senior managers
• Demonstrate firm structure and reporting lines with Responsibility Maps and the Persons Directory

Your compliance program – backed by data, powered by ComplySci. With more than 15 years of experience, we are your go-to for all things compliance and data management, with a host of premium and professional services to assist with entering, updating, and managing data within the ComplySci Platform.

• Leverage a combination of optical character recognition (OCR) technology and human oversight to achieve accuracy and insight like never before. When manual information upload or entry is required, we coordinate the transmission and data format most convenient and effective for you.
• Additional data services include: Bulk broker reconciliation, data clean up, mass user administration, certification customization, and custom reporting.