Employee compliance for the financial services sector
Capture what matters most to your compliance program
Cross your Ts and dot your Is with a compliance solution that’s as precise and thorough as you are. Monitor, verify and mitigate employee trading risk with a click of a button with ComplySci's Compliance Program, designed specifically for those in the financial services sector.
Our employee compliance solutions mitigate risk associated with:
Personal trading
Cryptocurrency
Private investment
Gifts and entertainment
Conflicts of interest
Outside business affiliation
Managing material non-public information
Marketing material
Insider trading
Political contributions
ComplySci Spotlight: Monitor and mitigate employee trade risk.
Don't take our word for it
"We were trying to solve for one thing and one thing only - ensure we have a top-of-the-line solution to review employee trading activity. We found ComplySci had the best price for the tool they provided."
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ComplySci – A partner as meticulously detail-oriented and driven as you.
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Data interoperability and APIs
Powerful integration capabilities facilitate data connections between ComplySci and other HR, expense and order management platforms, such as Workday, Concur and Intapp's DealCloud. Enhance capabilities with secure integrations to accommodate black box firm trading algorithms and additional data needs.
Direct broker feeds
Integrated direct broker feeds from more than 200 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Superior user experience
Our mobile-first approach ensures a frictionless experience for you and your employees, making compliance easy and painless.
Platform innovation
Incorporating direct feedback from our more than 7,000 clients, we continue to perfect our solution, implementing the enhancements that matter most to you.
Data services
Our Data Services team leverages a combination of optical character recognition (OCR) technology and human oversight to accurately and efficiently enter and update data on behalf of our clients.
Award-winning customer service
Let us be an extension of your back office, receive support when you need it most from our dedicated subject matter experts.
Complementary solutions
Looking for more? ComplySci and our fellow COMPLY firms are here to help you build a compliance solution specifically tailored for where your firm is today and where you plan to be tomorrow.
