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ComplySci

ComplySci delivers regulatory compliance solutions that help financial firms monitor and manage risk activities like employee trading and political contributions. Trusted by 7,000+ clients, ComplySci automates conflict-of-interest oversight, enabling scalable, effective compliance management.

4.7

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ComplySci Overview

ComplySci, a COMPLY solution, is a global leader in regulatory compliance technology, empowering compliance officers and professionals to effectively manage and mitigate risk. Serving over 7,000 clients across investment management, private equity, hedge funds, broker-dealers, and RIAs, ComplySci offers scalable solutions for monitoring employee trade activity, managing MNPI (material non-public information), political contributions, and other compliance risk activities. With a deep foundation in regulatory protocols, automation, and industry expertise, ComplySci streamlines complex compliance tasks, enabling firms to grow confidently while maintaining robust oversight. Founded in 2003, it continues to lead in automating conflict of interest and compliance risk management.

Features

Comprehensive Employee Activity Monitoring

Automated Preclearance and Disclosure Workflows

Real-Time Dashboards and Reporting

Extensive Broker Feed Integrations

ComplySci Pricing Overview

ComplySci Score

Smyte Score

4.7 Number of Reviews 26

Smyte Score

The Smyte Score is a weighted average from leading review sites across the web.

100+ reviews for Software Name

Pros

Comprehensive Compliance Tracking:
Users appreciate ComplySci’s ability to monitor a wide range of compliance activities, including personal trading, political contributions, and gifts and entertainment. This comprehensive tracking aids in identifying and mitigating potential compliance risks.

Automated Workflows:
The platform offers automated workflows for preclearance requests, employee disclosures, certifications, and attestations. This automation streamlines compliance processes, reduces manual effort, and ensures timely approvals and record-keeping.

Responsive Customer Support:
ComplySci’s customer service is noted for being helpful and responsive, assisting users in navigating new features and addressing issues promptly.

Cons

Complex Integration Process:
Some users have found the integration process, particularly setting up preclearance rules and broker feeds, to be challenging, especially for larger or more complex organizations.

Steep Learning Curve:
New users may experience a learning curve when navigating the platform’s features and functionalities, requiring time to become proficient.

Limited Broker Feed Integration:
While ComplySci integrates with numerous brokerage firms, some users have noted difficulties in establishing feeds with certain brokers, necessitating manual data entry.

** Smyte uses AI to analyze online reviews, extracting key pros and cons by identifying patterns and summarizing customer feedback into actionable insights.

FAQs

1. What is ComplySci?

ComplySci is a compliance management platform designed to help financial and professional services firms monitor and manage employee compliance activities, including personal trading, gifts and entertainment, and political contributions.

2. Who typically uses ComplySci?

The platform is utilized by compliance officers, risk managers, and other professionals within financial services firms, including investment banks, private equity firms, hedge funds, broker-dealers, and registered investment advisers.

3. Does ComplySci support compliance requirements?

Yes, ComplySci provides tools and features to help firms adhere to various regulatory requirements, offering comprehensive tracking and reporting capabilities.

4. Is there a free trial available?

ComplySci does not offer a free trial. Interested parties should contact the vendor for more information and potential demonstrations.

5. What support options are available?

ComplySci offers various support options, including email/help desk, phone support, 24/7 live representative assistance, and chat support.

ComplySci

4.7

Software Info

Pricing

Score

Alternatives

ComplySci Overview

Software Details

Features

ComplySci Pricing Overview

ComplySci Score

Smyte Score

4.7

Number of Reviews 26

Smyte Score

100+ reviews for Software Name

Pros

Cons

FAQs

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