360-Degree Regulatory Compliance for Financial Services
Comply is a comprehensive regulatory compliance platform designed for the financial services industry. It offers a suite of tools that automate compliance activities, monitor employee trading, manage conflicts of interest, and capture communications across various channels. The platform provides a centralized dashboard for managing compliance tasks, generating reports, and maintaining audit trails. Comply's architecture includes integrations with broker feeds for trade monitoring, a preclearance request system, and native capture of iMessage and WhatsApp communications through a partnership with LeapXpert. The system is designed to help firms meet regulatory requirements, mitigate risks, and ensure compliance with standards of conduct.
360-Degree Regulatory Compliance for Financial Services
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Comply is a comprehensive regulatory compliance platform designed for the financial services industry.
Explore all tools that specialize in trade monitoring. This domain focus ensures Comply delivers optimized results for this specific requirement.
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Capture full conversation threads, edited and deleted messages, timestamps, attachments and multimedia, and message reactions (i.e. emojis) directly from iMessage and WhatsApp through a partnership with LeapXpert.
Assess risks and ensure exam readiness with an integrated risk assessment tool.
Manage compliance activities using a bespoke compliance calendar.
Gain a full view of employee brokerage accounts through the industry’s largest network of direct broker feeds.
Capture, review, and store client communications in a WORM (Write Once Read Many)-compliant format.
Data Loading and Configuration: Load existing data into the system.
System Configuration: Customize system settings to fit specific use cases.
Integration Setup: Configure integrations with broker feeds and other systems.
Broker Feed Outreach: Establish connections with broker feeds.
Supervisor Training: Train supervisors on how to use the platform.
Go-Live Assistance: Assist with launching the platform within the organization.
All Set
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