360-Degree Regulatory Compliance for Financial Services

Integrating compliance processes onto one software platform, including archiving and communication, cybersecurity, and vendor due diligence, enable small- and medium-sized firms to achieve the highest standard of compliance. These capabilities are the foundation for your compliance strategy and empower you to do more with less.

The first and only end-to-end compliance software to pre-clear, monitor, verify and report employees’ cryptocurrency transactions.

The ComplySci Platform is a comprehensive solution built for monitoring Code of Ethics requirements and tracking employee activity against UK rules and regulations.

Categorizing employees by their roles, responsibilities, and reporting structure is foundational to compliance. After all, the compliance oversight of employees depends largely on how they have been identified and categorized within the enterprise.

Secure, powerful REST APIs allow for programmatic access to our employee Code of Ethics services, facilitating data connections between the ComplySci Platform and data platforms used by your firm.

Quickly uncover all information related to a potential compliance violation, respond, and document, all within the ComplySci Platform.

Our Resource Center gives your compliance team access to a world of knowledge right at your fingertips. You can learn more about the ComplySci® Platform and associated modules in whatever manner suits you best, including a variety of knowledge articles, our latest release notes, or video tutorials and past webinars recorded by our product experts.

With the Marketing Materials solution on the ComplySci® Platform, firms can manage the submission, review, approval, and archiving of any external facing materials through the same preclearance and documentation workflow used for other compliance activities.

COMPLY implements security at all levels of the infrastructure stack and employs the latest technologies to safeguard client information. Critical information security practices like software development and infrastructure security are regularly reviewed by independent information security organizations.

The ComplySci® Platform is the industry’s most innovative compliance and risk management solution. It was built to help compliance officers stay ahead of risk by monitoring, managing, and reporting on conflicts of interest arising from their employees.

The SMCR Module on the ComplySci® Platform help regulated firms facilitate and manage the requirements of the FCA’s Senior Managers and Certification Regime (SMCR).

Don’t let conflicts slip through the cracks. Leverage strategic integrations to gain a 360-degree view of individual- and firm-based conflicts.

Developed with our more than 7,000 customers, the ComplySci® Platform library of trade and non-trade related rules are easily configured to address a variety of compliance policies.

Undisclosed Account Alerts on the ComplySci® Platform help firms mitigate risk related to undisclosed account violations. Proactively identify and reconcile brokerage accounts employees have failed to disclose, giving compliance teams peace of mind and comprehensive activity tracking.

COMPLY Program Management is a centralized, comprehensive platform for managing the full scope of a firm’s compliance program.

The ComplySci Platform is a comprehensive, mobile-responsive compliance software solution built for monitoring Code of Ethics requirements and tracking employee activities against U.S. rules and regulations.

Power your compliance program with 300+ direct broker feeds.

ComplySci’s compliance program management offerings are designed for the financial services and wealth management industry, including broker-dealers, hedge funds, global institutions, registered investment advisers, private markets, and public companies.

Your firm’s regulatory compliance program keeps your firm functional, ensuring you meet regulatory requirements and standards of conduct, mitigating financial, reputational, and regulatory consequences of a compliance violation.

In fact, financial regulatory compliance software can help you:

• Automate manual, time-consuming activities, which eat away at your day and make it difficult to focus on big-picture priorities
• Determine gaps in your compliance program, which could leave you open to risk
• Report on all compliance activities, providing an audit trail for your firm and any regulatory body
• Ensure your compliance program is functioning at the optimal level

ComplySci’s compliance technology, consulting, and education offerings are designed to safeguard financial services firms, including hedge funds, private equity firms, broker-dealers, and investment advisers, around the world. With more than 7,000 clients in 61 countries, we can create a customizable solution to strengthen your firm’s compliance program.

COMPLY provides 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you being the onboarding process. That’s our promise to you. You can contact COMPLY’s support team here.

COMPLY’s onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company’s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds. Onboarding is concluded with supervisor training and assisting your organization go live on the platform.

Typical onboarding takes approximately 6-8 weeks. For larger clients onboarding is scoped to meet your company’s unique needs.