ComplySci Review
Last reviewed October 2026. ComplySci was folded into the COMPLY brand in March 2024 and is now marketed as ComplySci by COMPLY, alongside RIA in a Box and other COMPLY products. This overview is based on the vendor's public materials and industry reporting, not hands-on testing of every feature. Features, ownership and pricing change often — confirm details with the vendor before buying.
ComplySci is a comprehensive employee compliance management platform designed for financial services firms. With its powerful pre-clearance capabilities and automated certification workflows, ComplySci helps organizations ensure employee compliance with regulatory requirements while reducing administrative burden.
Overview
ComplySci specializes in automating and streamlining employee compliance processes for highly regulated industries. The platform provides real-time monitoring of employee activities, automated pre-clearance for trades and investments, and comprehensive reporting to ensure adherence to internal policies and external regulations.
Key Features
- Pre-Clearance System: Automated trade and investment pre-approval workflows
- Employee Certifications: Digital attestations and policy acknowledgments
- Personal Trading Surveillance: Real-time monitoring of employee transactions
- Gift & Entertainment Tracking: Approval workflows for gifts and entertainment
- Outside Business Activities: Management of external affiliations and activities
- Political Contributions: Tracking and approval of political donations
- Conflicts of Interest: Identification and management of potential conflicts
- Regulatory Reporting: Automated compliance reports and dashboards
Use Cases
- Investment management firms tracking employee trading
- Private equity firms managing conflicts of interest
- Investment banks ensuring regulatory compliance
- Hedge funds monitoring personal trading activities
- Financial advisors managing client relationships
Pros
- Intuitive pre-clearance workflows
- Comprehensive compliance coverage
- Mobile app for on-the-go approvals
- Strong integration with trading systems
- Excellent audit trail capabilities
- Responsive customer support
Cons
- Primarily focused on financial services
- Limited customization for non-financial use cases
- Can be expensive for smaller firms
- Initial setup requires significant configuration
Integration Capabilities
ComplySci integrates with key financial and compliance systems:
- Charles Schwab and other custodians
- Bloomberg terminals
- HR management systems
- Order management systems (OMS)
- Portfolio management platforms
- Email and calendar systems
- API for custom integrations
Security & Compliance
Vendors in this category commonly hold certifications such as SOC 2 Type II or ISO 27001, but scope and dates vary and we have not verified ComplySci's current certifications. Before sending client data, ask for the latest SOC 2 report or ISO certificate, data-residency options, encryption and retention terms, whether customer data is used to train AI models, and the sub-processor list. Our vendor due-diligence guide has a full checklist.
Frequently Asked Questions
What is ComplySci?
ComplySci is an employee compliance management platform that automates pre-clearance, certifications, and monitoring for financial services firms to ensure regulatory compliance.
How much does ComplySci cost?
ComplySci uses custom pricing based on firm size, number of users, and selected modules. Contact their sales team for a personalized quote tailored to your organization's needs.
What makes ComplySci ideal for financial firms?
ComplySci is purpose-built for financial services with features like automated pre-clearance, personal trading surveillance, and regulatory reporting that address specific compliance requirements in the industry.
Does ComplySci offer mobile access?
Yes, ComplySci provides a mobile application that allows employees to submit pre-clearance requests and compliance officers to review and approve activities from anywhere.