ComplySci: A Comprehensive Solution for Employee Risk Management
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ComplySci: A Comprehensive Solution for Employee Risk Management

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Jean-Marc Levy, CEO, ComplySciJean-Marc Levy, CEO
In today’s business world, the reputation of a financial services organization depends not only on its market performance, but also upon its ability to build trust with clients and meet growing regulatory obligations. Risk & Compliance has become an important voice in making revenue-driving business decisions. As regulators have invested heavily in technology, expectations that companies follow suit rise as well. Though technology historically served as a simple utility to assist with compliance efforts, it has transformed into the core of today’s best compliance and risk management programs. Accordingly, technology solutions and advanced data analytics will only become more integral in driving further innovation within compliance and risk management arenas.

By harnessing world-class technology, New York-based ComplySci empowers compliance professionals to manage, mitigate, and even forecast risk. Their Risk Data EngineTM allows compliance teams to efficiently navigate ever-changing compliance regulations and unlock the strategic potential of data for added business value. ComplySci’s functionality offers monitoring and tracking of employee personal trading and similar activities while also providing comprehensive reporting and analytics through easy-to-absorb executive dashboards. ComplySci has become the strategic technology partner of over 1,100 financial institutions worldwide. With a best-in-class SaaS platform that is automated, flexible, and scalable, ComplySci serves all sizes of organizations, ranging from boutique alternative investment advisors up to global complex dually-registered financial behemoths.

To provide comprehensive, 360-degree employee risk management, ComplySci collects data from a wide variety of sources. Most notable are the direct broker feeds that the tech provider receives from over 180 brokerages with detailed transactions, enabling financial institutions to automate pre-clearance and trade monitoring, eliminating paper-based data and manual workflows. ComplySci additionally collects data on political contributions, gifts and entertainment, and outside business activities for seamless exceptions management.


ComplySci continues to focus on fostering a proactive compliance approach by combining a data-first approach with world-class services and support


ComplySci has built a world-class team charged with developing proprietary algorithms for data normalization. According to CEO Jean-Marc Levy, the ComplySci platform “effectively mitigates risk by flagging anomalies and surfacing those to Compliance for further review and action.” A firm’s decision-makers can quickly and easily generate rich content reports in response to audits and regulatory inquiries without having to rely upon a dedicated internal IT team to perform such required, time-intensive tasks. “Because there is a trail of every activity recorded on the platform, it becomes the ‘books and records’ for regulators, equipping them with a simple mechanism to audit and examine data,” Levy adds. Relying upon superior data aggregated onto a single digital platform, compliance officers can glean valuable insights and focus on actionable recommendations that lead to positive business impact, rather than spending inordinate time simply extracting trends and searching for potential patterns of questionable behavior.

The ComplySci application was built in a mobile-first design with a frictionless user experience in mind, dramatically reducing the time it takes for employees to submit information and view decisions. Compliance officers also enjoy user-friendly reporting functionality as administrators of the platform. ComplySci has been recognized by many industry groups for excellence in user experience, superior technology, growth and innovation, and white-glove professional support.

Where will ComplySci head next to best serve its subscribers? Plans are in place to introduce predictive analytics in its platform to make reporting more predictive and sophisticated by the end of 2019. “ComplySci continues to focus on fostering a proactive compliance approach by combining a data-first approach with world-class services & support,” says Levy. With its commitment to innovation, deep compliance expertise, and strong financial backing from majority investor Vista Equity Partners, ComplySci’s award-winning platform enables Chief Compliance Officers to stay ahead of risk and shift their focus toward their company’s other strategic goals.