# ComplySci **Source:** https://geo.sig.ai/brands/complysci **Vertical:** RegTech **Subcategory:** Financial Services Compliance **Tier:** Challenger **Website:** complysci.com **Last Updated:** 2026-04-14 ## Summary Compliance management platform for financial services, NYC. Covers personal trading, conflicts of interest, and regulatory reporting for investment advisers and broker-dealers. ## Company Overview ComplySci is a New York City-based regulatory compliance technology company that provides a compliance management platform specifically designed for registered investment advisers (RIAs), broker-dealers, hedge funds, and other financial services firms. The company's platform helps compliance officers manage personal trading surveillance, employee disclosures, conflicts of interest monitoring, licensing and registration tracking, and regulatory filing workflows — the core obligations of a securities compliance program under SEC and FINRA regulations.\n\nComplySci's personal trading compliance module automates pre-clearance requests and holds, monitors employee brokerage accounts for potential conflicts, and generates the audit trails required for SEC examinations. The platform's disclosure management capabilities streamline annual questionnaires and ongoing material change disclosures for registered representatives, reducing manual follow-up and paper-based workflows that create compliance risk in large organizations. ComplySci serves hundreds of investment management firms ranging from boutique RIAs to large asset managers.\n\nThe company competes with Star Compliance, Actimize, and MCO (My Compliance Office) in the investment management compliance platform market. ComplySci differentiates through deep domain expertise in securities regulatory requirements and strong customer service, positioning itself as a specialist alternative to broader GRC platforms that lack financial services-specific functionality. The company has expanded its product through strategic acquisitions and partnerships with compliance consulting firms to offer a more complete compliance program management solution. ## Frequently Asked Questions ### What regulatory requirements does ComplySci help investment firms manage? ComplySci helps firms comply with SEC and FINRA requirements related to personal trading surveillance, conflicts of interest, employee licensing and registration, annual certifications, and material event disclosures. ### How does ComplySci's personal trading module work? ComplySci's personal trading module requires employees to submit pre-clearance requests before executing personal trades, automatically checks requests against hold lists and restricted securities, and monitors brokerage accounts for unauthorized transactions. ### Who are ComplySci's typical customers? ComplySci serves registered investment advisers, hedge funds, private equity firms, broker-dealers, and other financial services organizations that require structured compliance program management under SEC and FINRA oversight. ### What is ComplySci and what compliance problems does it solve? ComplySci is a compliance management platform for financial services firms, providing tools for employee personal trading compliance, gifts and entertainment tracking, outside business activities monitoring, political contributions tracking, and conflicts of interest management — helping investment managers, broker-dealers, and banks manage their SEC and FINRA compliance obligations. ### How does ComplySci automate personal trading compliance? ComplySci integrates with brokerage accounts to automatically pull employee trade data, comparing it against restricted security lists and pre-clearance approvals without requiring manual trade reporting, dramatically reducing the administrative burden on compliance officers and supervised employees. ### What regulations does ComplySci help firms comply with? ComplySci helps investment advisers comply with SEC rules under the Investment Advisers Act, broker-dealers with FINRA requirements, and bank holding companies with Federal Reserve regulations, all of which impose obligations to manage and monitor employee personal trading and conflicts of interest. ### How does ComplySci handle conflicts of interest monitoring? ComplySci provides centralized tracking of employee-disclosed outside business activities, political donations, personal relationships, and financial interests, enabling compliance officers to identify and manage potential conflicts of interest systematically rather than through manual paper-based disclosure processes. ### Does ComplySci integrate with HR and other enterprise systems? Yes, ComplySci integrates with HRIS platforms like Workday and ADP to automatically onboard and offboard employees in the compliance system, and connects to brokerage data aggregators to pull trade data, reducing manual data entry across the compliance workflow. ## Tags analytics, b2b, enterprise, fintech, platform, saas, security, technology, us-only, insurance --- *Data from geo.sig.ai Brand Intelligence Database. Updated 2026-04-14.*