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* Solutions Employee compliance for the financial services sector * Personal and firm trading * Cryptocurrency * Private investment * Material non-public information (MNPI) * Certifications and attestations * Political contribution COMPLY Program Management * Compliance Calendar * Annual Review * Reporting and audit trail * Restricted list management * Deal and activity logging * Wall crossing Data services * Data interoperability * Ad-hoc data entry * Bulk reconciliation * Data and mass user cleanup * Brokerage statement entry Managed Services * System configuration and customization * Processing rules and alert set-up * Report creation * Data feed setup * Change management See all solutions Other COMPLY offerings Continuing education powered by NRS Expert consulting powered by NRS Registration and licensing tracking powered by NRS Registered investment adviser technology powered by RIA in a Box Political contribution monitoring powered by illumis Public record search powered by illumis Public record monitoring powered by illumis * Who we serve WHO WE SERVE We are your partner in compliance, with solutions customized to meet the unique needs of your industry and your firm. Learn more about how the ComplySci Platform can support your compliance program as well as the firm-specific modules designed specifically to support the unique requirements of your program. Learn more * Hedge funds * Private markets * Private equity * Investment advisers * Broker-dealers * Investment banks * Institutional investors * Insurance companies * UK markets See all * Resources RESOURCES We are your resource for compliance news, regulatory updates and expert advice. Discover the latest blog, upcoming webinar and industry-leading guides. * News * Blogs * Events * Case studies * Industry guides * Infographics / checklists * Whitepapers * Company COMPANY We are ComplySci. For compliance people. Get in touch to see how we can help you achieve and maintain compliance. * About ComplySci * Awards * Contact * FAQs * Careers * Customer Service Login * ComplySci Login * illumis Logins Get a demo Get a demo * Solutions Solutions * Employee compliance for the financial services sector Personal trading, cryptocurrency, private investment, MNPI, certifications and attestations * COMPLY Program Management Elevate your compliance program management with an integrated solution designed by compliance experts for compliance professionals. * Data services Data interoperability, ad-hoc data entry, bulk reconciliation, data and mass user cleanup, brokerage statement entry * Managed Services System configuration and customization, processing rules and alert set-up, report creation, data feed setup, change management * See all solutions * Other COMPLY offerings Continuing education powered by NRS Expert consulting powered by NRS Registration and licensing tracking powered by NRS Registered investment adviser technology powered by RIA in a Box Political contribution monitoring powered by illumis Public record search powered by illumis Public record monitoring powered by illumis * Who we serve Who we serve * Hedge funds * Private markets * Private equity * Investment advisers * Broker-dealers * Investment banks * Institutional investors * Insurance companies * UK markets * See all * Resources * Company Company * About ComplySci * Awards * Contact * FAQs * Careers * Customer Service * Login Login * Blue Sky Solutions System * IACCP Resource Center * ComplianceGuardian * ComplianceMax * Desktop On Demand * FIRE Solutions EMPLOYEE COMPLIANCE FOR THE FINANCIAL SERVICES SECTOR Whether you have 50 employees or 5,000, monitor, verify and mitigate employee trade risk – from personal trading to cryptocurrency to private investments and beyond – with precision and accuracy. BOOK A DEMO 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 A COMPLIANCE COMMAND CENTER FOR TODAY'S WORKFORCE Gain a holistic view into employee risk with the ComplySci Platform. A robust compliance monitoring solution for chief compliance officers and compliance teams, our platform drives digital transformation and strategy forward. * Establish a digital process around the submission of pre-clearance requests and disclosures for personal trading, cryptocurrencies, outside business affiliations, gifts and entertainment, and more employee activities. * Customize trade rules to align with the firm’s policies and procedures. * Automatically capture trade data with direct broker feeds and digital asset trade monitoring to seamlessly monitor and verify employee activity. * Export visual analytics, dashboards and ad-hoc reports, and document a full audit trail of employee activity. * Build digital certification forms and events. Gain a holistic view into employee risk with the ComplySci Platform. A robust compliance monitoring solution for chief compliance officers and compliance teams, our platform drives digital transformation and strategy forward. * Establish a digital process around the submission of pre-clearance requests and disclosures for personal trading, cryptocurrencies, outside business affiliations, gifts and entertainment, and more employee activities. * Customize trade rules to align with the firm’s policies and procedures. * Automatically capture trade data with direct broker feeds and digital asset trade monitoring to seamlessly monitor and verify employee activity. * Export visual analytics, dashboards and ad-hoc reports, and document a full audit trail of employee activity. * Build digital certification forms and events. Learn more DIGITAL ASSET TRADE MONITORING The first and only compliance software solution to automatically capture transactions and holdings from employees’ cryptocurrency accounts and monitor them for alignment with the firm’s policies and procedures. ZenLedger brings their best-in-class ingestion engine to the ComplySci platform, providing real-time accuracy and comprehensive coverage across digital asset types. * Pre-clear, monitor, verify and report cryptocurrency trades with the same rules, restrictions and workflows as any other equities. * Gain comprehensive and automated coverage of all major crypto exchanges and wallets. * Employees trade and disclose cryptocurrencies with ease while compliance maintains full visibility into employee activities, without the need for manual uploads or offline management. The first and only compliance software solution to automatically capture transactions and holdings from employees’ cryptocurrency accounts and monitor them for alignment with the firm’s policies and procedures. ZenLedger brings their best-in-class ingestion engine to the ComplySci platform, providing real-time accuracy and comprehensive coverage across digital asset types. * Pre-clear, monitor, verify and report cryptocurrency trades with the same rules, restrictions and workflows as any other equities. * Gain comprehensive and automated coverage of all major crypto exchanges and wallets. * Employees trade and disclose cryptocurrencies with ease while compliance maintains full visibility into employee activities, without the need for manual uploads or offline management. LEARN MORE TRADE AND ACTIVITY MONITORING Follow your employees’ trade activity to prevent and proactively identify potential misuse of material non-public information (MNPI). * Gain a full view of account-level detail with intelligent alerts and dashboard access. * Integrate direct broker feeds and digital asset trade monitoring for easy access to all trade information, from stocks to cryptocurrencies. * Easily set up rules, restrictions and workflows to automatically approve or deny requests or flag for further review. * Enable employees to pre-clear or disclose any required activities, such as trades, cryptocurrency transactions, gifts and entertainment, political contributions, conflicts of interest and more, wherever, whenever with our mobile app. * Reveal trends through trade activity and reconciliation reports. Follow your employees’ trade activity to prevent and proactively identify potential misuse of material non-public information (MNPI). * Gain a full view of account-level detail with intelligent alerts and dashboard access. * Integrate direct broker feeds and digital asset trade monitoring for easy access to all trade information, from stocks to cryptocurrencies. * Easily set up rules, restrictions and workflows to automatically approve or deny requests or flag for further review. * Enable employees to pre-clear or disclose any required activities, such as trades, cryptocurrency transactions, gifts and entertainment, political contributions, conflicts of interest and more, wherever, whenever with our mobile app. * Reveal trends through trade activity and reconciliation reports. Learn more CERTIFICATIONS AND ATTESTATIONS Never spend your time chasing down employees. Easily and effectively create automated digital certification forms and events tailored to your Code of Ethics. * Drive digital engagement with digital certification. * Flag overdue certifications with intuitive dashboards and reports for automated follow up. * Monitor questions, responses and engagement to determine impact. Never spend your time chasing down employees. Easily and effectively create automated digital certification forms and events tailored to your Code of Ethics. * Drive digital engagement with digital certification. * Flag overdue certifications with intuitive dashboards and reports for automated follow up. * Monitor questions, responses and engagement to determine impact. Learn more COMPLIANCE REPORTING, ARCHIVING AND ANALYTICS Turn data into insight with ease with intelligent compliance reporting for internal audits, management meetings and examinations. * Export visual analytics, dashboards and ad-hoc reports to quickly share pertinent compliance information. * Document a full audit trail of employee activity and compliance communications to comply with books and records requirements. * Identify trends and potential gaps within your program to avoid risk. Turn data into insight with ease with intelligent compliance reporting for internal audits, management meetings and examinations. * Export visual analytics, dashboards and ad-hoc reports to quickly share pertinent compliance information. * Document a full audit trail of employee activity and compliance communications to comply with books and records requirements. * Identify trends and potential gaps within your program to avoid risk. Learn more MONITOR FIRM-WIDE ACTIVITY AND MNPI Track firm and individual activities to proactively identify potential misuse of material non-public information (MNPI), uncover potential conflicts of interest and market abuse, and centralize reporting with ComplySci’s Control Room. * Collect, organize and associate sensitive information on initial public offerings (IPOs), mergers, acquisitions and other deals, employee meetings, expert networks and access to material non-public information (MNPI). * Quickly identify instances of market abuse or other potential conflicts. * Add deal-related securities to restricted lists and flag securities. * Permission and manage wall crossing. Track firm and individual activities to proactively identify potential misuse of material non-public information (MNPI), uncover potential conflicts of interest and market abuse, and centralize reporting with ComplySci’s Control Room. * Collect, organize and associate sensitive information on initial public offerings (IPOs), mergers, acquisitions and other deals, employee meetings, expert networks and access to material non-public information (MNPI). * Quickly identify instances of market abuse or other potential conflicts. * Add deal-related securities to restricted lists and flag securities. * Permission and manage wall crossing. Learn more AUTOMATICALLY IDENTIFY INSTANCES OF MARKET ABUSE Connect disparate data sets to create a holistic view of your compliance data and easily identify potential conflicts of interest and evaluate risk across an organization with ComplySci’s Conflict Check. * Establish a comprehensive view of risk in real time. * Uncover potential conflicts using cross-org compliance data. * Build synergies between teams with transparency to better inform decisions across the business. Connect disparate data sets to create a holistic view of your compliance data and easily identify potential conflicts of interest and evaluate risk across an organization with ComplySci’s Conflict Check. * Establish a comprehensive view of risk in real time. * Uncover potential conflicts using cross-org compliance data. * Build synergies between teams with transparency to better inform decisions across the business. Learn more 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." Stadion Money Management Chief Compliance Officer Michael Isaac COMPLYSCI – A PARTNER AS METICULOUSLY DETAIL-ORIENTED AND DRIVEN AS YOU. DATA INTEROPERABILITY AND APIS Powerful integrations and APIs facilitate data connections between ComplySci and other HR, expense and order management platforms, such as Workday, Concur, Intapp's DealCloud and ZenLedger. 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. DIGITAL ASSET TRADE MONITORING Comprehensive coverage of all major crypto exchanges and wallets and automated data capture of transactions and holdings lets employees disclose crypto trades with ease while compliance has full visibility into and verification of employee activities. 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. 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. Ready to talk? 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. Political contribution monitoring Aggregate and verify employee political contributions and mitigate pay-to-play risk with intelligent political contribution monitoring powered by illumis. Consulting Prepare and assess your firm’s readiness with mock audits and examinations with NRS’ team of highly skilled regulatory experts. Reputation tracking Guard against risk and upgrade your program with additional checkpoints, archiving, data management and point solutions with NRS’ ComplianceGuardian. SUPPORTING DOCUMENTS ComplySci Platform Navigate complex regulatory challenges and safeguard your firm’s reputation by proactively identifying and managing potential risks. The ComplySci Platform is a comprehensive solution built for monitoring Code of Ethics requirements and tracking employee activity against rules and regulations. Navigate complex regulatory challenges and safeguard your firm’s reputation by proactively identifying and managing potential risks. The ComplySci Platform is a comprehensive solution built for monitoring Code of Ethics requirements and tracking employee activity against rules and regulations. Download the document Digital Asset Trade Monitoring Download the document Certifications and Attestations ComplySci’s certifications module was designed to meet the needs of firms large or small, at any sophistication level—from first-time registrants to global financial institutions. Attestations can be an important tool to help show regulators that you have a strong compliance program, and that it’s working. ComplySci’s certifications module was designed to meet the needs of firms large or small, at any sophistication level—from first-time registrants to global financial institutions. Attestations can be an important tool to help show regulators that you have a strong compliance program, and that it’s working. Download the document Case Management ComplySci’s Case Management allows compliance officers to take swift action on potential compliance issues to uncover all relevant information. ComplySci’s Case Management allows compliance officers to take swift action on potential compliance issues to uncover all relevant information. Download the document COMPLY Program Management COMPLY Program Management gives chief compliance officers and other compliance leader’s full transparency into the department’s activities. Organizing your day-to-day compliance work, as well as scheduling your regulatory compliance tasks in one centralized location can help ensure your compliance team meets its regulatory responsibilities and deadlines. COMPLY Program Management gives chief compliance officers and other compliance leader’s full transparency into the department’s activities. Organizing your day-to-day compliance work, as well as scheduling your regulatory compliance tasks in one centralized location can help ensure your compliance team meets its regulatory responsibilities and deadlines. Download the document Conflict Check Compliance officers are managing more information than ever before, from personal trades, political contributions and outside business affiliations to insider information, wall crossing requests and restricted lists. Searching for potential conflicts of interest across these data streams is often manual, resulting in an incomplete view of an organization’s risk profile. Compliance officers are managing more information than ever before, from personal trades, political contributions and outside business affiliations to insider information, wall crossing requests and restricted lists. Searching for potential conflicts of interest across these data streams is often manual, resulting in an incomplete view of an organization’s risk profile. Download the document Control Room ComplySci’s secure, integrated Control Room solution simplifies activity tracking and conflict checking by logging and associating company activities and employee activities to proactively identify any potential conflicts of interest and market abuse. Manage any type of activity or material nonpublic information (MNPI), such as deals, wall crossing, insider information, meetings, speaking engagements, communications, trades, G&E disclosures or outside business affiliations - all within the ComplySci Platform. ComplySci’s secure, integrated Control Room solution simplifies activity tracking and conflict checking by logging and associating company activities and employee activities to proactively identify any potential conflicts of interest and market abuse. Manage any type of activity or material nonpublic information (MNPI), such as deals, wall crossing, insider information, meetings, speaking engagements, communications, trades, G&E disclosures or outside business affiliations - all within the ComplySci Platform. Download the document RELATED READING View all Blog Your guide to the SEC’s proposed rule changes for U.S. Treasury market 09/26/22 Blog Employee crypto trade monitoring in 2023 and beyond 12/20/23 Whitepaper Benefits of Direct Brokerage Feeds 10/18/23 FREQUENTLY ASKED QUESTIONS What SEC and FINRA requirements can ComplySci’s employee trade monitoring solutions help my compliance team address? ComplySci's employee trade monitoring can help your team meet the requirements of numerous SEC and FINRA rules, including: * FINRA Rule 3210 (accounts at other broker-dealers and financial institutions) * Best supervisory practices require a firm monitor personal accounts opened or established outside of the firm by its registered reps. * FINRA Rule 3210 addresses securities transactions review and investigation. * The rule helps facilitate effective oversight of the trading activities of registered reps of firms. * Prior written consent from the employer is required before a registered rep may open an account at another firm where trades can be effected. * FINRA Rule 3130 * Each firm is required to identify and designate a chief compliance officer (CCO). The firm’s chief executive officer (CEO) must certify annually the firm has a process in place to establish, maintain, review, modify and test policies and procedures reasonably designed to achieve compliance with applicable rules. * The CEO must certify the broker-dealer has processes in the annual report and the CEO has conducted one or more meetings with the CCO in the preceding 12 months to discuss processes. These meetings must include meaningful discussions of the firm's compliance efforts and any significant compliance problems and plans for emerging business areas. * The CCO is expected to have an understanding of a firm's products, services and line functions which need to be the subject of written compliance policies and written supervisory procedures. Why do I need financial regulatory compliance software? Your firm's regulatory compliance program keeps your firm functional, ensuring you meet regulatory requirements and standards of conduct, mitigating financial, reputational and regulatory consequences of a compliance violation. In fact, financial regulatory compliance software can help you: * Automate manual, time-consuming activities, which eat away at your day and make it difficult to focus on big-picture priorities. * Determine gaps in your compliance program, which could leave you open to risk. * Report on all compliance activities, providing an audit trail for your firm and any regulatory body. * Ensure your compliance program is functioning at the optimal level. Learn more about the benefits offered with a best-in-class software partner. How many direct broker feeds does ComplySci provide access to? ComplySci integrates with more than 330 direct broker feeds. How often does information sync with direct broker feeds? Most broker feeds process daily on a T-1 day basis. Information from the previous trading day is received and processed into ComplySci overnight. We do have a small amount of weekly feeds. Does it track individual and company-wide activity? Yes. We can track: For individual activity: * Personal accounts, holdings and transactions. For firm activity: * Firm trades, restricted lists. Will it be able to identify trades employees do not self-submit? Yes, trades either processed via the direct broker feeds or entered into the site manually can prompt unmatched trade communication alerts if the employee did not preclear the trade in advance. Can I self-manage restricted lists securities? Yes, supervisors and compliance officers can use the UI to add, update and delete restricted lists. Does ComplySci’s employee trade monitoring allow for customized processes and workflow? Yes, ComplySci’s trade preclearance rules engine allows firms to automate the review of requests. The rules in place can be customized according to a firm’s policies and allows requests to be automatically approved, denied or sent to the compliance team for further review based on the information submitted into the request by the employee. Can I automate reminders for users regarding needed actions and certification requirements? Yes, in the certification setup there are options to set recurring, reminders and overdue notices. How does it help monitor for potential conflicts of interest? ComplySci's Platform is designed to specifically to check employee trades against the firm's approved lists to identify potential conflicts of interest. It enables pre-clearance for things, such as OBA, Expert Networks, PolCon, and more. In addition, our Control Room was built to support deal type activities, which could potentially cause conflicts, such as persons with insider information. What formats can I export reports in? Reports can be exported from the UI in Excel or PDF formats. Scheduled data exports can also be delivered to a FTP folder in CSV format. Does it provide a full audit trail? Yes, there is a full audit trail within the system that can be sorted, filtered and exported. What types of companywide trends can the employee trade monitoring software help me identify? Unlocking the power of your data is critical in spotting trends and addressing potential issues as they may arise. ComplySci's Platform can help with: * Peer analysis reporting: Discover most frequently made trades or employees with the highest trade volumes compared to others in the firm. * Trade/request reconciliation reporting: Find employees who have traded with/without preclearance approval, as well as employees who frequently submit requests and do not execute the trade, indicating they might be fishing for information, seeing what can get approved/denied with no intention of following through with the request they submitted. * Post-trade testing: Compare employee transactions to holding period requirements, restricted trading lists and firm trades. How do I get the most out of my financial regulatory compliance software? Every dollar matters during a period of economic downturn. This makes prioritizing your spend essential to keeping your financial advisory firm at peak of performance, investing where appropriate for long-term success while not over-reaching and potentially overspending. * Work with the right compliance technology partner. * Prioritize your fiduciary education. * Bring in outside help as needed. * Create a culture that prioritizes compliance. * Lean into your *free* resources. Read more about the economic benefits of a strong compliance software partner. What type of customer support is provided? ComplySci provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you being the onboarding process. That’s our promise to you. You can contact ComplySci's Customer Support team at complyscisupport@comply.com or by calling: * US - +1 646 787 9370 * UK - +44 (0) 203 608 8320 * HK - +852 2319 4213 How long does the onboarding process usually take? ComplySci's onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company’s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds. Onboarding is concluded with supervisor training and assisting your organization go live with ComplySci. Typical onboarding takes approximately 6-8 weeks. For larger clients onboarding is scoped to meet your company’s unique needs. How can I schedule a demo? Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you. READY TO GET STARTED? Take control of your compliance program. Manage and mitigate employee trade risk with a technology partner as dedicated to your compliance program as you are. BOOK A DEMO Home / Solutions / Employee compliance for the financial services sector International headquarters 136 Madison Avenue 6th Floor New York, NY 10016 info@comply.com Follow us on Who we serve * Solutions * Careers * Contact us * Login Resources * News * Blog * Events * Case studies * Industry guides * Infographics / checklists * White papers Company * Leadership * Awards * FAQs * Contact ©2024 ComplySci, a COMPLY company. * Terms of use * Privacy policy * Cookie policy * Cookie preferences We use essential cookies to make our site work. With your consent, we may also use non-essential cookies to improve user experience, personalize content, customize advertisements, and analyze website traffic. For these reasons, we may share your site usage data with our advertising and analytics partners. 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