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 * Careers
 * Leadership
 * Resources
 * Contact us


WE ARE COMPLY.
FOR COMPLIANCE PEOPLE.

As the global market leader in regulatory compliance solutions, COMPLY combines
the power of regulatory technology, services and education to empower CCOs and
compliance professionals to easily navigate the regulatory landscape. Our deep
bench of industry expertise supports more than 7,000 clients, including private
equity firms, hedge funds, broker-dealers, registered investment advisers and
other financial service sector participants. 

Let's talk




WE EMPOWER CCOS TO ACHIEVE STRATEGIC GOALS.

COMPLY’s comprehensive suite of solutions arms you with the power to adapt in an
ever-changing regulatory landscape. Precision, expertise and accuracy converge
to help you achieve new levels of regulatory dexterity. 

Our consultative approach goes beyond “out of the box” quick fixes, to provide
the configurable capabilities you need to manage risk and maintain COMPLYance. 

Ready to navigate the regulatory compliance landscape? We’ll be right there with
you.  

COMPLY’s comprehensive suite of solutions arms you with the power to adapt in an
ever-changing regulatory landscape. Precision, expertise and accuracy converge
to help you achieve new levels of regulatory dexterity. 

Our consultative approach goes beyond “out of the box” quick fixes, to provide
the configurable capabilities you need to manage risk and maintain COMPLYance. 

Ready to navigate the regulatory compliance landscape? We’ll be right there with
you.  

Data

Corporate
 * Reporting and audit trails
 * Global broker feeds (via platform and feed)
 * ByAllAccounts
 * Campaign finance data
 * Manual data entry
 * OCR enhanced data processing

   
 * Reporting and audit trails
 * Global broker feeds (via platform and feed)
 * ByAllAccounts
   

   
 * Campaign finance data
 * Manual data entry
 * OCR enhanced data processing
   

Employee
 * Custom feeds and reports (FTP, API and adhoc)
 * Securities and Exchange Commission (SEC) and Financial Industry Regulatory
   Authority (FINRA) integrations
 * LinkedIn
 * Black Diamond
 * Riskalyze
 * DealCloud

   
 * Custom feeds and reports (FTP, API and adhoc)
 * Securities and Exchange Commission (SEC) and Financial Industry Regulatory
   Authority (FINRA) integrations
 * LinkedIn
   

   
 * Black Diamond
 * Riskalyze
 * DealCloud
   

Third-party/cyber/operations
 * InvestorCOM
 * Workday
 * BambooHR

   
 * InvestorCOM
 * Workday
   

   
 * BambooHR
   

Services

Corporate
 * On-site and remote compliance reviews 
 * Annual reviews
 * Regulatory filings
 * Mock audits

   
 * On-site and remote compliance reviews 
 * Annual reviews
   

   
 * Regulatory filings
 * Mock audits
   

Employee
 * Email reviews
 * Vendor reviews
 * Managed services
 * Bespoke consulting

   
 * Email reviews
 * Vendor reviews
   

   
 * Managed services
 * Bespoke consulting
   

Third-party/cyber/operations
 * Continuing education
 * Investment Adviser Certified Compliance Professional  (IACCP) certification
 * Cybersecurity training

   
 * Continuing education
 * Investment Adviser Certified Compliance Professional  (IACCP) certification
   

   
 * Cybersecurity training
   

Data

Services

Corporate
 * Reporting and audit trails
 * Global broker feeds (via platform and feed)
 * ByAllAccounts
 * Campaign finance data
 * Manual data entry
 * OCR enhanced data processing

   
 * Reporting and audit trails
 * Global broker feeds (via platform and feed)
 * ByAllAccounts
   

   
 * Campaign finance data
 * Manual data entry
 * OCR enhanced data processing
   

Employee
 * Custom feeds and reports (FTP, API and adhoc)
 * Securities and Exchange Commission (SEC) and Financial Industry Regulatory
   Authority (FINRA) integrations
 * LinkedIn
 * Black Diamond
 * Riskalyze
 * DealCloud

   
 * Custom feeds and reports (FTP, API and adhoc)
 * Securities and Exchange Commission (SEC) and Financial Industry Regulatory
   Authority (FINRA) integrations
 * LinkedIn
   

   
 * Black Diamond
 * Riskalyze
 * DealCloud
   

Third-party/cyber/operations
 * InvestorCOM
 * Workday
 * BambooHR

   
 * InvestorCOM
 * Workday
   

   
 * BambooHR
   

Corporate
 * On-site and remote compliance reviews 
 * Annual reviews
 * Regulatory filings
 * Mock audits

   
 * On-site and remote compliance reviews 
 * Annual reviews
   

   
 * Regulatory filings
 * Mock audits
   

Employee
 * Email reviews
 * Vendor reviews
 * Managed services
 * Bespoke consulting

   
 * Email reviews
 * Vendor reviews
   

   
 * Managed services
 * Bespoke consulting
   

Third-party/cyber/operations
 * Continuing education
 * Investment Adviser Certified Compliance Professional  (IACCP) certification
 * Cybersecurity training

   
 * Continuing education
 * Investment Adviser Certified Compliance Professional  (IACCP) certification
   

   
 * Cybersecurity training
   


WHO WE SERVE

HEDGE FUNDS

Your clients rely on you to make wise, high-performance investments. However,
navigating the complex SEC and FINRA regulations takes time away from that
endeavor. Hedge your bets with a regulatory compliance solution provider known
for putting you and your compliance program first.

PRIVATE MARKETS

As a private equity, venture capital or real estate fund manager, your
compliance function is of the utmost importance, especially with increased
pressure from limited partners. Leverage a compliance partner dedicated to
seeing you through even the most complex of compliance challenges.

INVESTMENT ADVISORS

Whether state or SEC-registered, the COMPLY portfolio of firms provides the
solutions to meet your unique registered investment advisor compliance needs.

BROKER-DEALERS

Tracking and monitoring compliance activities for all of your broker-dealer
representatives takes time you simply don't have. Lean into our expertise and
let us help you mitigate risk and comply with all SEC and FINRA regulations.

INVESTMENT BANKS

No matter the size, as an investment bank you are tasked with monitoring and
mitigating a multitude of risk points to comply with SEC and local regulations.
You don't have to do it alone. Bank on a solution that works, bank on COMPLY.

INSTITUTIONAL INVESTORS

Accurately track and monitor complex compliance risk, including MNPI and
employee conflict of interest with customized compliance solutions which
incorporate technology, consulting and education.

INSURANCE COMPANIES

Insure your compliance program with the technology, consulting and education
resources which have helped your peers meet applicable regulations and mitigate
risk.

PUBLIC COMPANIES AND SERVICE ORGANIZATIONS

Your organization relies on positive branding and reputation to attract and
retain investors. Leverage the regulatory solutions designed to help turn
compliance into an asset which boosts your reputation.

UK MARKETS

The Financial Conduct Authority's (FCA) strategic outlook focuses on protecting
consumer interest and creating healthy market competition. Discover how COMPLY
can help you continue to maintain compliance from registration to SM&CR and
beyond, even with heightened regulations at play.


INSIGHT, ACCURACY, COMPLIANCE - FOR COMPLIANCE PEOPLE.


combined years of experience in the compliance industry.

compliance clients in the financial services industry.

countries with active users.

employees worldwide.




COMPLYCONNECT 2024 CONFERENCE & EXPO

OCTOBER 21 - 24, 2024
See you next year! Get a front row seat to the latest news and trends shaping
compliance, risk and governance in beautiful Austin, Texas.
JOIN US NEXT YEAR



LET OUR CUSTOMERS TELL YOU

“Moving to ComplySci has allowed us to do more complex surveillance. The
customization is incredible. ComplySci is as customizable as you want it to be."

Dually registered investment adviser and broker-dealer firm senior compliance
officer


"With a one-size-fits-all platform, we discovered our vendor was not willing or
able to customize for the needs of individual companies.

We feel the ComplySci dashboard is really our dashboard. We don’t feel like it
is the same for everyone, but rather it is tailored to us."

Chicago-based asset management firm


"You are seeing more private equity firms embrace the release of thought pieces
and are leveraging social media to expand brand presence. As we thought about
how we want to build on the presence we already have, we needed a solution to
keep track of what is being approved for publication."

New York-based growth equity firm deputy chief compliance officer


"I can pull reports quickly whenever I need them. For example, one time I needed
to report to our firm’s risk committee, and I wanted to indicate how many trades
we’re preclearing, the accounts we have and the marketing items we’ve reviewed.
I was able to generate all that data in ComplySci and easily share the results."

Private equity firm chief compliance officer


"The customer service at ComplySci is special. They are all extremely
knowledgeable and friendly. I appreciate the team always allows me the
opportunity to walk through the product and learn, so I can reduce the times I
must reach out again in the future.

I now have time to dedicate to firm projects I’ve always thought about, yet
haven’t had time for in the past."

VSS Capital Partners Chief Compliance Officer and Director of Operations
Jacqueline “Jackie” Jacobs




LATEST NEWS

News COMPLY adds technology, operations and finance expertise to expanded
leadership team as it accelerates growth and integration strategy Jan. 17, 2023
News 23 people who will leave a mark on wealth management in 2023 Dec. 09, 2022
News COMPLY adds new capabilities and offerings to help compliance teams meet
growing number of regulatory requirements Feb. 02, 2023


International headquarters
136 Madison Avenue
6th Floor
New York, NY 10016
+1 (212) 327-1533
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