ComplySci

4.7 (20)
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Advanced compliance technology empowers compliance teams

Overall rating

4.7 /5
(20)
Value for Money
4.3/5
Features
4.3/5
Ease of Use
4.2/5
Customer Support
4.8/5

95%
recommended this app
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20 Reviews for UK Users

Angela
Overall rating
  • Industry: Financial Services
  • Company size: 2–10 Employees
  • Used Weekly for 1+ year
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 7.0 /10

A very intuitive, user friendly way to keep track of compliance issues.

Reviewed on 25/07/2024

It's been an enjoyable process working with ComplySci. It keeps me on track with my compliance...

It's been an enjoyable process working with ComplySci. It keeps me on track with my compliance needs.

Pros

Calendar and documentation of compliance reviews.

Cons

A little pricey, and sometimes communicating with support staff is not as efficient as I would like.

Samantha
Overall rating
  • Industry: Banking
  • Company size: 51–200 Employees
  • Used Daily for 6-12 months
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

Excellent Tool

Reviewed on 15/03/2024

Just an excellent tool and the support system from inception has been wonderful. No matter what...

Just an excellent tool and the support system from inception has been wonderful. No matter what question you may have there are FAQs or a support team.

Pros

The ease of using the system , it allows you to navigate with ease. I really like the notes function which allows you to track which is especially helpful if you need to do a lookback.

Cons

Sometimes it may time out a bit quickly

Pauline
Overall rating
  • Industry: Financial Services
  • Company size: 11–50 Employees
  • Used Monthly for 1+ year
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 1.0 /10

Review

Reviewed on 06/01/2022

Poor to Fair

Poor to Fair

Pros

It is a place to automatically keep certifications and compliance records.

Cons

It is very difficult to use with little training available. Most brokers do not feed into the system. Confusion when to use Data Records and when to use Reports to extract the required data.

Brandon
Overall rating
  • Industry: Financial Services
  • Company size: 10,000+ Employees
  • Used Daily for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

ComplySci Review

Reviewed on 05/01/2022

The personal trading review process is done significantly faster because there are less employees...

The personal trading review process is done significantly faster because there are less employees to track down for paper statements. ComplySci provides a great platform for tracking the completion of employee compliance questionnaires and any conflicts of interest disclosed therein.

Pros

ComplySci's customer service is extremely helpful in navigating new features of the platform, which are being developed and rolled out on a regular basis. The number of brokers that feed electronically to ComplySci tremendously reduces the burden of chasing employees for paper statements.

Cons

The integration process can be a bit challenging, especially setting up pre-clearance rules for larger or more complex organizations. Building out certifications can be challenging for first-time administrators.

Libby
Overall rating
  • Industry: Investment Management
  • Company size: 2–10 Employees
  • Used Daily for 1+ year
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

Review as a user and administrator.

Reviewed on 02/11/2023

Overall, the system is great. However, there is so much optionality with the system, that it can...

Overall, the system is great. However, there is so much optionality with the system, that it can be overwhelming.

Pros

The support team is fabulous!! Each time I call they are helpful and patient.

Cons

The system is very good but sometimes there is too much information that it can be a bit overwhelming. Once you use certain functions a couple of times and get to know the nuances, it's helpful and pretty easy to use.

John
Overall rating
  • Industry: Investment Management
  • Company size: 51–200 Employees
  • Used Daily for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

Best Compliance Software on the market

Reviewed on 09/05/2024

Pros

Automating workflows in ComplySci has allowed us to achieve operational alpha and the customer service is incredible.

Cons

Everything about Complysci is fantastic.

Michael
Overall rating
  • Industry: Financial Services
  • Company size: 2–10 Employees
  • Used Weekly for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

ComplySci Alternative

Reviewed on 16/04/2023

These are check the box solutions for our mutual clients. Being a small registered entity these...

These are check the box solutions for our mutual clients. Being a small registered entity these days and stay compliant can be daunting..

Pros

It is very hard to match their support. Often time I find myself talking to the same person, which is very encouraging.

Cons

Because I don't use it daily, it can be a bit challenging to remember all the functionality.

Chan-Ree
Overall rating
  • Industry: Financial Services
  • Company size: 501–1,000 Employees
  • Used Daily for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

Great compliance software for any type of financial firms

Reviewed on 01/10/2021

Very comfortable.

Very comfortable.

Pros

The ease of navigating through different program for daily monitoring purposes.

Cons

The software can improve in the area where returning to a previous page will take you to where you left off rather than refreshed page where I have to search again for where I left.

Katie
Overall rating
  • Industry: Financial Services
  • Company size: 1,001–5,000 Employees
  • Used Daily for 6-12 months
  • Review Source

Overall rating

  • Ease of Use
  • Customer Support
  • Likelihood to recommend 9.0 /10

Schwab Compliance Technologies to ComplySci

Reviewed on 08/06/2022

The onboarding team was great to work with. We have a complex setup and they were with us each...

The onboarding team was great to work with. We have a complex setup and they were with us each step of the way. Now that we have onboarded they didn't leave us hanging. We have a success manager we meet with regularly. They listen to our suggested system enhancements. Any issues are resolved quickly and we are kept informed.

Pros

Robust reporting, certifications functionality

Cons

Preclearance vs. self reporting understanding at the beginning coming from SCT.

GUY
Overall rating
  • Industry: Financial Services
  • Company size: Self Employed
  • Used Weekly for 1+ year
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

Very Satisfied

Reviewed on 02/01/2024

Very happy with all the resources provided with my package. Excellent Customer Service

Very happy with all the resources provided with my package. Excellent Customer Service

Pros

Ease of use, and completeness of the product.

Cons

The comany provides everything I need to stay in compliance.

Marc
Overall rating
  • Industry: Real Estate
  • Company size: 201–500 Employees
  • Used Daily for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 8.0 /10

Great Compliance Monitoring Platform

Reviewed on 17/12/2021

ComplySci has been helpful to ensure we are collecting the data we need in a central repository,...

ComplySci has been helpful to ensure we are collecting the data we need in a central repository, where we can easily produce records as needed to meet our ongoing obligations.

Pros

Easy for users to add accounts, submit pre-clearance requests, view their records, etc.

Cons

Tricky and sometimes difficult to navigate certification management and reviewing existing certifications; not super intuitive with the different options

Michael
Overall rating
  • Industry: Financial Services
  • Company size: 11–50 Employees
  • Used Daily for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

CompySci usage

Reviewed on 08/06/2022

Pros

Easy to roll out policies and procedures and administer certifications

Cons

Setup for broker feeds is very time consuming. I wish there was a paid service that COmplySci could offer to handle the follow up with all brokers

Christa
Overall rating
  • Industry: Investment Banking
  • Company size: 201–500 Employees
  • Used Daily for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 8.0 /10

Worth the money, but legwork is needed

Reviewed on 15/09/2021

8/10

8/10

Pros

I like that it is all housed in one place for our compliance needs

Cons

its not completely editable. There are some things like simple words that cant be changed.

Uche
Overall rating
  • Industry: Investment Management
  • Company size: 201–500 Employees
  • Used Daily for 6-12 months
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

ComplySci feedback

Reviewed on 07/02/2022

I have said it many times We have the best relationship manager and support is fantastic.

I have said it many times We have the best relationship manager and support is fantastic.

Pros

Onboarding and Direct feed. Very easy to use. I was not with AIMCo when ComplySci was deployed but i would imagine it was a seamless integration with our existing applications.

Cons

There is still some work around pre-clearance option and flagging of accounts that involved users that have been "retired". I will be working with the team on these.

Tamari
Overall rating
  • Industry: Investment Management
  • Company size: 201–500 Employees
  • Used Daily for 6-12 months
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 7.0 /10

2 level approval

Reviewed on 05/10/2021

overall it does its job to comply with government regulations

overall it does its job to comply with government regulations

Pros

I like how easy it is to run reports. a preclearance approval process is set u an easy way done. like how system helps you to customise

Cons

it doe not have a two-level approval system. for example if pre-clearance needs to be approved it has to go two-level approval process based on company policy. Complyscy does not have two-level approval system

Irene
Overall rating
  • Industry: Financial Services
  • Company size: 51–200 Employees
  • Used Daily for 1+ year
  • Review Source

Overall rating

  • Ease of Use
  • Customer Support
  • Likelihood to recommend 8.0 /10

ComplySci Review - Compliance

Reviewed on 15/09/2021

For the most part ComplySci does the job but still needs upgrades as previously mentioned and...

For the most part ComplySci does the job but still needs upgrades as previously mentioned and brought up by members of my team and I.

Pros

It's tracking feature for trade requests, certifications, data feeds and employee details.

Cons

The many discrepancies and holes that can be found on a day to day basis.

Milagros
Overall rating
  • Industry: Financial Services
  • Company size: 11–50 Employees
  • Used Weekly for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 8.0 /10

A real time saver

Reviewed on 27/07/2021

while i cannot compare to other software, i am truly happy with what i am getting.

while i cannot compare to other software, i am truly happy with what i am getting.

Pros

i can enter recurring requests and only need to do so one time.
i am beginning to add training presentations and having team respond to questions and certify.
employee trading is a breeze to track and you are constantly adding new brokers.
support team is great.

Cons

i cannot easily download individual employee statements when requested by auditing.

Brooke
Overall rating
  • Industry: Financial Services
  • Company size: 11–50 Employees
  • Used Weekly for 2+ years
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

Great Compliance Software for smaller firms

Reviewed on 24/09/2021

ComplySci is our first and only compliance software. It has been a great addition to our compliance...

ComplySci is our first and only compliance software. It has been a great addition to our compliance program and has helped streamline many compliance tasks like political contribution, personal trading reporting, and our compliance certifications.

Pros

ComplySci makes compliance certifications easy and the customer support is quick and efficient.

Cons

That there are many asset managers who don't yet use the personal trading data stream feature.

Ashley
Overall rating
  • Industry: Financial Services
  • Company size: 11–50 Employees
  • Used Weekly for 1+ year
  • Review Source

Overall rating

  • Value for Money
  • Ease of Use
  • Customer Support
  • Likelihood to recommend 10.0 /10

ComplySci Review

Reviewed on 27/07/2021

Very positive, great support

Very positive, great support

Pros

The product is very easy to use, I like the features to track employee certifications the most.

Cons

I do not have any complaints about this product.

Sue
Overall rating
  • Industry: Financial Services
  • Company size: 51–200 Employees
  • Used Weekly for 1-5 months
  • Review Source

Overall rating

  • Ease of Use
  • Customer Support
  • Likelihood to recommend 8.0 /10

ComplySci

Reviewed on 16/12/2021

Pros

Easy to use and understand, new to the company and to software such as this.

Cons

Receiving an email for every item completed - would prefer to only receive them when there is an action required.