COMPLY 2026: Benefits, Features & Pricing

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On this page

Overview
Pricing and Plans
Features
User Reviews

Overview

COMPLY

4.8

(24)

Pricing

Starting at $3,000.00 per year

About COMPLY

At ComplySci, we believe advanced compliance technology empowers compliance professionals to transform their business. More than 7,000 customers, including some of the world’s largest financial institutions, rely on ComplySci’s scalable and sophisticated platform to stay ahead of risk and unlock the strategic potential of their compliance data. Our family of firms includes ComplySci, NRS, a ComplySci Company, and illumis, a ComplySci company, and RIA in a Box. Together, we offer a full suite of governance, risk, and compliance (GRC) consulting, technology, managed services, analytics, and outsourcing solutions for the financial services industry. Our regulatory technology solutions help compliance organizations identify, monitor, manage, and report on risk and conflicts of interest, including personal trading, gifts and entertainment, political contributions, outside business affiliations, and other code of ethics violations.

Learn more at complysci.com.

COMPLY Screenshots

COMPLY Pricing and Plans

Starting price: $3,000.00 per year

Free Trial

Free Version

Basic

$3,000.00

flat rate, per year

No plan information available

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COMPLY Features

Popular features found in Compliance
Access Controls/Permissions
Archiving & Retention
Audit Trail
Corrective and Preventive Actions (CAPA)
Document Management
Incident Management
Monitoring
Regulatory Reporting
Risk Management
Training Management
Version Control
More features of COMPLY
Audit Management
Compliance Management
Compliance Tracking
Governance
ISO Compliance

COMPLY User Reviews

Overall Rating

4.8

Ratings Breakdown

83%

13%

Secondary Ratings

Ease of Use

4.3

Value for money

4.4

Customer support

4.8

Functionality

4.4

Angela A.

Verified reviewer

Financial Services

2-10 employees

Used weekly for less than 2 years

Reviewed July 2024

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

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

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

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.

Reasons for switching to COMPLY

I needed the documentation features that complysci offers.

Alona K.

Verified reviewer

Financial Services

2-10 employees

Used weekly for more than 2 years

Reviewed November 2024

I love ComplySci!

Fantastic. I have been working with ComplySci for years, typically facilitating the organization of the system for broker-dealers as an outsourced consultant and think it's a great product that automates a lot of the administrative compliance tasks.

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

Pros:

I love the functionality and quick and thorough customer support.

Cons:

Perhaps the difficulty in getting multiple feeds set up with multiple brokers.

Pauline C.

Verified reviewer

Financial Services

11-50 employees

Used monthly for less than 2 years

Reviewed January 2022

Review

Poor to Fair

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

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.

Reasons for choosing COMPLY

Looked good at demo

Donald B.

Verified reviewer

Financial Services

Self-Employed

Used monthly for less than 2 years

Reviewed November 2024

ComplySci support

We have utilized the services of ComplySci for over 13 years now. all the representatives are knowledgable, professional and take ownership of any and all issues.

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

Pros:

The team has always provided exceptional advice and service to my firm. Questions are addressed directly, efficiently and always to my satisfaction.

Cons:

Overall this is the finest service I have utilized. At times some of the compliance work does not apply to my firm but that is quickly overcome.

Jayme F.

Verified reviewer

Financial Services

Self-Employed

Used monthly for more than 2 years

Reviewed November 2024

Do Not Try to do this on your own!

Excellent. A great value for an independent RIA.

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

Pros:

ComplySci is the "complete package". I couldn't have done this on my own.

Cons:

No complaints. I never felt pressured on missing a date or document, but helpful reminders.

Garo P.

Verified reviewer

Investment Management

Self-Employed

Used weekly for less than 6 months

Reviewed December 2024

COMPLYSci very helpful

Proactive notice, easy scheduling, and patient and helpful expert on the phone with me.

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

Pros:

Industry expertise, helpful online tools

Cons:

No complaints. Easy process, lots of questions answered.

John D.

Verified reviewer

Investment Management

51-200 employees

Used daily for more than 2 years

Reviewed May 2024

Best Compliance Software on the market

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

Pros:

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

Cons:

Everything about Complysci is fantastic.

Samantha T.

Verified reviewer

Banking

51-200 employees

Used daily for less than 12 months

Reviewed March 2024

Excellent Tool

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.

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

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

Brandon D.

Verified reviewer

Financial Services

10000+ employees

Used daily for more than 2 years

Reviewed January 2022

ComplySci Review

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.

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

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.

Milagros K.

Verified reviewer

Financial Services

11-50 employees

Used weekly for more than 2 years

Reviewed July 2021

A real time saver

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

Ratings Breakdown

Ease of use

Value for money

Customer support

Functionality

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.

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