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COMPLY Software

COMPLY is an integrated compliance management solution tailored for companies in the financial services sector. Its primary goal is to simplify regulatory requi...

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COMPLY is an integrated compliance management solution tailored for companies in the financial services sector. Its primary goal is to simplify regulatory requi...

Watch Demo Get Pricing
Overview Features Pros & Cons Reviews FAQs

Product Overview

COMPLY is an integrated compliance management solution tailored for companies in the financial services sector. Its primary goal is to simplify regulatory requirements and minimize potential risks. The platform provides professional consulting, ongoing monitoring, and automated workflows. Although certain functionalities might seem intricate initially, the scalable resources and advisory support offered by the platform significantly improve compliance effectiveness and durability over time.

Product Details

What Is COMPLY Software?

COMPLY software is an all-encompassing compliance management solution designed specifically for financial services organizations aiming to enhance their operations while keeping pace with changing regulatory requirements. By integrating data, consulting services, education, and support, this platform facilitates scalable compliance strategies and helps reduce regulatory risks. With extensive knowledge of SEC, FINRA, FCA, and state regulations, COMPLY caters to over 5,600 clients across 61 nations, including investment banks, hedge funds, registered investment advisors (RIAs), broker-dealers, and insurance companies.

COMPLY Software Pricing

The cost for COMPLY software is set at a flat annual fee of $3,000. Reach out to us for a personalized quote that aligns with your organization’s unique requirements.

Note: The pricing information has been obtained from a third-party source and may be subject to alterations.

COMPLY Software Integrations

This software is compatible with various platforms, including MyRIACompliance and Advyzon.

Consider watching a free demo of COMPLY software to discover more about its integration capabilities.

Who Is COMPLY Software For?

COMPLY software is utilized across diverse sectors such as:

  • Private funding firms

  • Wealth management firms

  • Registered investment advisors (RIA)

  • Broker-dealers

  • Investment banks

  • Endowments

Is COMPLY Software Right For You?

If you are looking to enhance your compliance operations, COMPLY could be an excellent option for financial services firms that require proactive, technology-driven risk management. This unified platform, combined with consulting expertise and support for over 5,600 clients, centralizes regulatory oversight while safeguarding your reputation and fostering resilience. The comprehensive approach of the software empowers organizations to fulfill evolving obligations while ensuring operational excellence and sustainable growth.

If you still have questions regarding COMPLY software, please reach out to our support team at info@softwareseekers.com for further assistance and customized advice.

Governance, Risk & Compliance Software Features

✘ grc tools
✘ automation
✘ audit trails
✘ mobile access
✘ tax management
✔ audit management
✘ security measure
✘ invoice management
✘ visual recognition
✘ alertsnotifications
✔ compliance tracking
✘ financial reporting
✘ firewall protection
✘ production planning
✔ workflow automation
✘ customizable reports
✘ financial statements
✘ inventory management
✘ smart data discovery
✘ billing and invoicing
✘ bot design deployment
✔ risk assessment tools
✘ multi currency support
✘ predictive capabilities
✘ reporting and analytics
✘ self service dashboards
✘ audit management software
✘ greenhouse gas accounting
✘ natural language dialogue
✘ policy management software
✘ anti virus and anti malware
✔ incident and issue tracking
✔ policy and document control
✔ regulatory change management
✘ text to speech speech to text
✘ governance risk and compliance
✘ policy and document management
✘ regulatory compliance tracking
✘ risk assessment and mitigation
✘ thirdpartyvendor risk management
✔ third partyvendor risk management
✘ esg metrics tracking and reporting
✘ third party vendor risk management
✘ customer due diligence cddkyc tools
✘ enterprise risk management software
✔ version control and change tracking
✘ operational risk management software
✘ enterprise risk management erm software
✔ compliance framework and checklist tools
✘ compliance framework builder and checklists
✘ audit management incident and issue tracking
✘ regulatory compliance tracking and management
✘ third party supplier risk management software
✘ compliance framework builder and checklist tools
✘ regulatory change monitoring and impact analysis
✘ third party and supplier risk management software
✘ carbon emissions data capture and calculation tools
✘ incident and issue tracking nonconformity management
✘ regulatory compliance tracking eu taxonomy csrd esrs etc
✘ thirdpartyvendor risk management via partner assessments
✘ transaction monitoring and suspicious activity detection
✘ risk assessment and mitigation climate and esg risk focus
✘ audit management supports audit proof esg and financial data
✘ compliance framework builder and checklist tools version control and change tracking

Pros

  • ✔ Helps track compliance reviews and documentation
  • ✔ Offers a useful notes function for lookback tracking
  • ✔ Strong reporting and personal trading review functionality

Cons

  • ✘ Multiple broker feed setups can be challenging
  • ✘ Flagging retired accounts in pre-clearance needs improvement

Price

Professional

Custom

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Ratings

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Frequently Asked Questions

Find answers to the most common queries about our software recommendation service.

Yes, COMPLY software offers API access.

COMPLY software supports English.

Yes, COMPLY software offers a mobile app (ComplySci) available for both Android and iOS devices.

COMPLY software serves a diverse range of sectors, including private funding firms, wealth management firms and RIAs, brokers, dealers, investment banks, and endowments.

The software integrates with platforms such as Advyzon and MyRIACompliance.

COMPLY software provides 24/5 support through chat, a resource hub, and scheduled demos.

COMPLY software cost includes a flat annual rate of $3,000. Custom packages may also be available depending on specific organizational requirements.