#1 most frequent
United States of America
83.5%66 installations of 79
What is ComplySci?
ComplySci is a provider of regulatory technology solutions that help compliance professionals identify, manage and report on employee conflicts of interests and compliance risk activities, including personal trading, political contributions, and other violations.
Founded in 2003, ComplySci develops automated compliance management solutions and boasts users among over 1,400 customers, including some of the worlds largest financial institutions.
Founded in 2003, ComplySci develops automated compliance management solutions and boasts users among over 1,400 customers, including some of the worlds largest financial institutions.
Categories & Use Cases
Top Performing Features
Risk management
Risk management capabilities including alert engine to warn of trending risk exposure and risk visualizations like heat maps, dashboards, etc.
Category average: 7.4
Integration with Corporate Performance Management (CPM) systems
Ability to integrate with external CPM software
Category average: 7
GRC policy management
Support for policy lifestyle changes including creation, approval, communication etc.
Category average: 7.7
Areas for Improvement
Incident management
System captures risk-related incidents, including cause and result
Category average: 7.8
Common repository of GRC items
A common repository linking all GRC elements such as policies, risks, regulations, etc.) to give a 360 degree view
Category average: 7.8
Who Buys & Uses ComplySci
#2 most frequent
Canada
3.8%3 installations of 79
#3 most frequent
India
2.5%2 installations of 79
ComplySci for the Financial Securities Industry
Pros
- Monitor all trading activity and report transactions not approved
- Provide detail reports on individual trading activity and approvals received
Cons
- Monitoring other platforms if accounts are opened at other firms for the same individuals registered with the current firm.
Most Important Features
- Monitoring of outside account activity
- Obtaining pre-approval for all trades.
Return on Investment
- Makes the compliance with regulatory requirements easier to obtain and maintain