About ComplySci
ComplySci is a compliance management software from ComplySci that is designed for financial services firms. It provides features such as risk assessment, regulatory reporting, and policy management so organizations can effectively manage compliance requirements. This platform integrates various compliance-related processes, allowing firms to maintain adherence to regulatory guidelines with ease. ComplySci is particularly beneficial for managing personal trading and outside business activities for employees. Key capabilities: risk assessment regulatory reporting policy management personal trading oversight automated alerts Best for: compliance officers and legal teams that need a reliable solution for regulatory compliance management.
COMPLYSCI by COMPLYSCI is a leading Governance, Risk, and Compliance (GRC) platform designed primarily for financial institutions, investment firms, and regulated organizations seeking to streamline compliance oversight. Its core purpose is to automate compliance monitoring, track employee activities, and help firms meet regulatory obligations with greater accuracy. Notable features include robust conflict-of-interest tracking, political contributions monitoring, attestation management, and automated rule-based alerts that help compliance teams respond quickly to potential risks. The user interface of COMPLYSCI is modern, clean, and structured for ease of navigation. Dashboards are customizable, enabling users to tailor views to highlight essential metrics such as flagged risks, overdue attestations, and employee disclosures. Its layout is intuitive, with menu items grouped logically for quick access. Even new users find it easy to understand due to thoughtful design choices like color-coded alerts and simplified reporting workflows. Functionally, COMPLYSCI offers comprehensive capabilities for employee trade monitoring, personal account dealing, marketing material reviews, and compliance certification tracking. Its automated screening engine is particularly impressive, detecting potential issues and escalating them with minimal manual intervention.
Pros & Cons
- +Provides a comprehensive compliance command center for efficient firm management.
- +Accelerates global growth and regulatory compliance for financial firms.
- +Offers a specialized compliance solution for Registered Investment Advisers (RIAs).
- +Features ComplyAI, integrating artificial intelligence into compliance workflows.
- +Includes full employee monitoring tools like trade and political contribution tracking.
- −Pricing and cost structure details are not disclosed in the provided information.
- −The ease of integration with current legacy systems remains unclear.
- −Implementation complexity for the full product suite is not specified.
- −A specific list of supported global regulations is absent from the text.
- −The system's suitability for smaller firms with limited needs is uncertain.
Features
Key features
- Comprehensive Compliance Command Center
- The software aims to be a single, centralized platform for managing all aspects of regulatory compliance for financial firms.
- Global Growth Acceleration
- The platform is explicitly designed to advance regulatory compliance while accelerating a firm's expansion into global markets.
- ComplyAI
- The platform integrates Artificial Intelligence to enhance compliance workflows, though its exact functions are not further specified.
- Specialized RIA Compliance (Comply for RIA)
- It offers a tailored, dedicated compliance solution specifically built to meet the unique needs of Registered Investment Advisers.
- Full Employee Compliance Suite
- It provides a range of tools, including Trade Monitoring, Code of Ethics, and Political Contributions tracking to manage personnel risk comprehensively.
- Intelligent Policy Builder
- This tool helps firms move "From Chaos to Culture" by providing a smarter, more structured approach to creating and managing compliance policies.
Additional features
- Comply Platform (formerly ComplySci)
- This is the core, centralized employee and firm compliance platform.
- Comply for RIA (formerly RIA in a Box)
- A dedicated, specialized compliance solution for Registered Investment Advisers.
- Illumis
- This is listed as a product, suggesting a specific tool likely focused on data or monitoring capabilities.
- Compliance Guardian
- A core product that likely serves as a protective or alert system within the compliance framework.
- Desktop on Demand
- A product that likely provides a remotely accessible, secure environment for compliance-related work.
- Trade Monitoring
- A feature used to track and analyze employee trading activities for compliance with firm policies.
- Code of Ethics
- A tool to help administer and monitor adherence to the firm’s ethical conduct policies.
- Conflicts of Interest
- Functionality dedicated to identifying, documenting, and managing potential conflicts of interest among employees.
- Case Management
- A feature for logging, tracking, and resolving compliance-related issues or violations.
- Reporting & Analytics
- Tools that provide data-driven insights and generate necessary reports for management and regulators.
- Political Contributions and OBA Monitoring
- Specific tracking of employee political giving and Outside Business Activities (OBA).
- Compliance Calendar
- A management tool for scheduling and tracking deadlines for regulatory filings and internal reviews.
- Risk Assessments
- Functionality to systematically evaluate and document firm-wide compliance risks.
- Annual Review
- A tool to help structure and complete the mandatory annual compliance review process.
- Intelligent Policy Builder
- A feature to guide the creation, maintenance, and communication of firm compliance policies.
- ComplyAI
- Integration of artificial intelligence to optimize and automate various compliance processes.
- Best Interest Compliance
- A tool to help firms meet standards of care, such as the SEC's Regulation Best Interest.
- Archiving
- Functionality for securely storing and retrieving records as required by regulatory retention rules.
Pricing
Countries & Languages
Interface languages
Billing currencies
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About ComplySci
ComplySci is a compliance management software from ComplySci that is designed for financial services firms. It provides features such as risk assessment, regulatory reporting, and policy management so organizations can effectively manage compliance requirements. This platform integrates various compliance-related processes, allowing firms to maintain adherence to regulatory guidelines with ease. ComplySci is particularly beneficial for managing personal trading and outside business activities for employees. Key capabilities: risk assessment regulatory reporting policy management personal trading oversight automated alerts Best for: compliance officers and legal teams that need a reliable solution for regulatory compliance management.
ComplySci Details
ComplySci 's In-App Market Place
Does ComplySci have an in-app market place?
Yes
How many Mini-Apps in the marketplace?
1
Mini Apps
N/A
Pricing Options
Accepted Payment Currencies
USD ($), EUR (€), GBP (£), AUD (A$), CAD (C$), JPY (¥), CHF (CHF), HKD (HK$), SGD (S$), NZD (NZ$), SEK (SEK), NOK (NOK), DKK (DKK)
Pros & Cons
- Provides a comprehensive compliance command center for efficient firm management.
- Accelerates global growth and regulatory compliance for financial firms.
- Offers a specialized compliance solution for Registered Investment Advisers (RIAs).
- Features ComplyAI, integrating artificial intelligence into compliance workflows.
- Includes full employee monitoring tools like trade and political contribution tracking.
- Pricing and cost structure details are not disclosed in the provided information.
- The ease of integration with current legacy systems remains unclear.
- Implementation complexity for the full product suite is not specified.
- A specific list of supported global regulations is absent from the text.
- The system's suitability for smaller firms with limited needs is uncertain.
ComplySci 's Alternatives
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Kordon
Kordon is a GRC platform from Kordon that helps organizations manage governance, risk, and compliance…
Key Control Dashboard
Key Control Dashboard is a GRC software from Yellowtail that supports comprehensive governance, risk, and…
RiskMgr
RiskMgr is a risk management software platform from Alcea Technologies Inc. that provides tools for…
