As a compliance professional serving a large brokerage firm, you’re likely acutely aware of the specific challenges faced by firms similar to your own! Not only do you have to navigate a unique and complex set of regulations and ensure data accuracy, but you also have the challenge of guiding a large number of employees on compliance expectations to ensure compliance with all applicable regulations.
At ComplySci, we understand the challenges that large brokerage firms like yours face and provide solutions to assist them with compliance program management. What’s more – with more than 7,000 clients to date, we have a track record of being an exceptional partner in compliance.
Here’s the type of service you can expect when you partner with us!
What makes us a reliable partner for your brokerage firm?
We’ve gathered a few frequently asked questions about what we do and how we best serve you.
- Who are ComplySci® regulatory compliance solutions and compliance services designed for?
Our solutions and services are designed to safeguard financial services firms around the world. We have more than 7,000 clients scattered across the world, ranging from smaller investment firms and private equity firms to large brokerage firms like yours.
- Why do I need a financial regulatory compliance solution?
The strength of your compliance program management keeps your firm functional, ensuring you meet regulatory requirements and standards of conduct, mitigating financial, reputational and regulatory consequences which can occur as a result of a compliance violation. Our regulatory compliance solutions can help you automate manual, time-consuming activities, determine gaps in your compliance program, report on all compliance activities and ensure your compliance program is functioning at the optimal level. Essentially, we help your firm streamline its compliance processes, creating greater efficacy in your program while also giving your compliance team more time to dedicate towards tasks that add increased value to your firm.
- How long does the onboarding process take?
At larger brokerage firms, time is arguably your greatest resource – and we understand that!
Our onboarding team will work with you to create a plan that addresses your company’s unique needs. We will load data, configure the system to your use case, help set up integrations and provide guided instruction of broker feed outreach. Onboarding typically takes approximately 6-8 weeks, but for larger clients, like you, it is scoped to meet your company’s unique needs.
- What type of customer support is provided?
We provide 24/5 support and unparalleled in-house expertise to ensure your compliance program management is in tip-top shape from the moment you begin the onboarding process. That means that even after your brokerage firm has implemented our technology, we’re still available to guide your compliance team through any unique challenges that may arise.
- How do I get the most out of my regulatory compliance solution?
Considering the time, money and energy you’ll invest into this solution, it only makes sense you would want to ensure you’re making the most of your investment.
To get the most out of your regulatory compliance solution, you should work with the right compliance technology partner, prioritize your fiduciary education, bring in outside help as needed, create a culture of compliance and lean into your free resources.
ComplySci Managed Services, for instance, allows you to lean on our experts. Whether you need ad-hoc support or ongoing services or someone to take on your administrative burdens or perform a mock audit to assess your program’s efficacy, we know our experts are just the resource to help you strengthen your compliance program.
- How can I schedule a demo?
Sound like we’re a great fit? You can complete a form on our website to schedule a full demo and see firsthand what our compliance solutions can do for you.
At ComplySci, we are committed to being the reliable and meticulous compliance partner that large brokerage firms need to succeed. Contact us today to learn more about how we can help you navigate the complex world of financial regulations.