Vendor Due Diligence

As financial firms increasingly turn to third-party vendors to execute core business functions, they must contend with heightened exposure to the risks created by working with outside parties. Regulators are focusing on mitigating risk posed by third-party vendor exposure – putting pressure on firms to manage their risks through due diligence practices.

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Comprehensive Vendor Due Diligence

Leverage a Vendor's Expertise without Increasing Risk.

Proper vendor management and due diligence is critical to every firm’s compliance program. Automate your firm’s third-party due diligence review and documentation with COMPLY’s Comprehensive Vendor Due Diligence solution.

Streamline your firm’s initial and ongoing third-party due diligence on a single platform
Leverage standard due diligence questionnaires (DDQs), issue them to identified vendors, and monitor their response
Benefit from calendar reminders to regularly complete vendor due diligence activities

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Free Limited Vendor Due Diligence

Connect With Up to 5 Vendors with COMPLY's Free Solution.

COMPLY is committed to making the vendor due diligence platform available to all firms in order to help the industry collaboratively address this global challenge.

The free version of our vendor due diligence platform allows your firm to connect with up to five vendors to help automate your third party technology vendor due diligence review and documentation.

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Leverage third-party vendors without sacrificing security. With COMPLY.

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STRAIGHT FROM THE USERS

Client Testimonials

“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP

“It is easy to see COMPLY has an appetite for growing their knowledge in their industry and improving upon their product, and I am happy and proud to be a partner.” – Michael Isaac, Stadion Money Management

Why COMPLY?

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.

SOLUTION AND SERVICE INNOVATION

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.

REGULATORY EXPERTISE

The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.

AWARD-WINNING CUSTOMER SERVICE

Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.