COMPLY Software

star star star star star 0.0 (0 reviews) | Governance, Risk & Compliance Software · Audit Management Software

Streamline your regulatory obligations and reduce risk with COMPLY, the unified compliance management platform designed for financial services firms.

Get Pricing play_circleWatch Demo

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

cancel GRC Tools

cancel Automation

cancel Audit Trails

cancel Mobile Access

cancel Tax Management

check_circle Audit Management

cancel Security Measure

cancel Invoice Management

cancel Visual Recognition

cancel Alerts/Notifications

check_circle Compliance tracking

cancel Financial Reporting

cancel Firewall Protection

cancel Production Planning

check_circle Workflow automation

cancel Customizable Reports

cancel Financial Statements

cancel Inventory Management

cancel Smart Data Discovery

cancel Billing and Invoicing

cancel Bot Design & Deployment

check_circle Risk assessment tools

cancel Multi-Currency Support

cancel Predictive Capabilities

cancel Reporting and Analytics

cancel Self-Service Dashboards

cancel Audit Management Software

cancel Greenhouse Gas Accounting

cancel Natural Language Dialogue

cancel Policy Management Software

cancel Anti-Virus And Anti-Malware

check_circle Incident and Issue Tracking

check_circle Policy and document control

check_circle Regulatory change management

cancel Text to Speech & Speech to Text

cancel Governance, Risk, And Compliance

cancel Policy and Document Management

cancel Regulatory Compliance Tracking

cancel Risk Assessment and Mitigation

cancel Third‑Party/Vendor Risk Management

check_circle Third-Party/Vendor Risk Management

cancel ESG Metrics Tracking and Reporting

cancel Third-Party / Vendor Risk Management

cancel Customer Due Diligence (CDD/KYC) Tools

cancel Enterprise Risk Management Software

check_circle Version Control and Change Tracking

cancel Operational Risk Management Software

cancel Enterprise Risk Management (ERM) Software

check_circle Compliance framework and checklist tools

cancel Compliance Framework Builder and Checklists

cancel Audit Management / Incident and Issue Tracking

cancel Regulatory Compliance Tracking and Management

cancel Third Party & Supplier Risk Management Software

cancel Compliance Framework Builder and Checklist Tools

cancel Regulatory Change Monitoring and Impact Analysis

cancel Third Party And Supplier Risk Management Software

cancel Carbon Emissions Data Capture and Calculation Tools

cancel Incident and Issue Tracking (Non‑Conformity Management)

cancel Regulatory Compliance Tracking (EU Taxonomy, CSRD, ESRS, etc.)

cancel Third‑Party/Vendor Risk Management (via partner assessments)

cancel Transaction Monitoring And Suspicious Activity Detection

cancel Risk Assessment and Mitigation (climate and ESG risk focus)

cancel Audit Management (supports audit-proof ESG and financial data)

cancel Compliance Framework Builder And Checklist Tools Version Control And Change Tracking

Pros & Cons

Pros

checkHelps track compliance reviews and documentation

checkOffers a useful notes function for lookback tracking

checkStrong reporting and personal trading review functionality

Cons

closeMultiple broker feed setups can be challenging

closeFlagging retired accounts in pre-clearance needs improvement

User Reviews

0.0

star star star star star

0 reviews

Positive

Neutral

Negative

rate_review

No reviews yet

Be the first to share your experience with COMPLY Software.

Frequently Asked Questions

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.

Still deciding on COMPLY Software?

Talk to a specialist — they'll compare it against your shortlist for free.

chat_bubbleTalk to an expert

COMPLY Software

How would you rate the overall quality?

Overall Rating

☆ ☆ ☆ ☆ ☆

Ease of Use

Value for Money

Customer Support

Functionality