“ComplySci is a leading provider of technology solutions that help compliance organizations identify, monitor, manage and report on conflicts of interest.”
Though numerous organizations invest in technology solutions to improve the digital experiences of their customers, back-office activities such as risk management are often not addressed – making the practice of identifying risk a reactive one. However, compliance has consistently bucked that trend. More and more organizations recognize that compliance data resides in many discrete repositories and exists across many silos, making it difficult for compliance officers to gain a comprehensive insight into the effectiveness of their compliance program. ComplySci is a leading provider of technology solutions that help compliance organizations identify, monitor, manage and report on conflicts of interest. ComplySci helps organizations shift their behavior to enable compliance officers to proactively identify suspicious employee trading behavior and other conflicts of interest by offering a holistic view of their entire employee population activities.
ComplySci also has the ability to substantially configure workflows as well as set up groups that reflect how a firm is organized, surfacing those valuable insights that compliance officers can leverage for strategic guidance to their organizations.
The Complysci Platform offers an advanced suite of workflow tools, intuitive user experience, and detailed reporting and analytical capabilities which help compliance teams of all sizes drive successful execution of their compliance programs, regardless of the complexity of their organizational structure. The ComplySci Platform enables compliance teams to use data to proactively identify risks, manage complex regulatory and compliance workflow processes, and review employee activities in real-time. For example, if an employee wishes to execute a personal trade, they can make such request easily via the ComplySci Platform which gets automatically evaluated against company policies – resulting in the immediate approval or denial of the request.
The ComplySci Risk Data Engine is able to aggregate, cleanse, normalize, and enrich data through over 185 direct broker feeds from brokerage houses and clearing firms that are directly integrated into the ComplySci Platform for monitoring and reporting employee trade activity. There is also full transparency into the status and completeness of direct broker feeds. ComplySci is able to ingest and integrate data from internal and external sources such as a customer’s internal or external sources, including HR workflow processes, expense management systems, etc. The Risk Data Engine provides accurate feeds of all securities-related data to ensure correct reporting of employee trade monitoring activities and guarantee that restricted trades are documented and audit-ready.
ComplySci continues to grow through its data-driven, proactive approach to compliance and word-class professional services. ComplySci’s future development plans continue to transform its service into a next-generation platform with more data-centric workflows, enhanced graphical reporting, improved supervisor user experiences, and more streamlined processes to help companies proactively identify, monitor, and manage higher-risk employees by leveraging cutting-edge technologies such as machine learning and AI.