All ComplySci Reviews
1-18 of 18 Reviews
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Samantha
Banking, 51-200 employees
Used daily for less than 12 months
OVERALL RATING:
5
EASE OF USE
4
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
5
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.
PROSThe 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.
CONSSometimes it may time out a bit quickly
Brandon
Financial Services, 10,000+ employees
Used daily for more than 2 years
OVERALL RATING:
5
EASE OF USE
4
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
5
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.
PROSComplySci'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.
CONSThe 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.
Pauline
Financial Services, 11-50 employees
Used monthly for less than 2 years
OVERALL RATING:
2
EASE OF USE
1
VALUE FOR MONEY
1
CUSTOMER SUPPORT
1
FUNCTIONALITY
2
Reviewed January 2022
Review
Poor to Fair
PROSIt is a place to automatically keep certifications and compliance records.
CONSIt 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.
Reason for choosing ComplySci
Looked good at demo
GUY
Financial Services, 1 employee
Used weekly for less than 2 years
OVERALL RATING:
5
EASE OF USE
5
VALUE FOR MONEY
4
CUSTOMER SUPPORT
5
FUNCTIONALITY
5
Reviewed January 2024
Very Satisfied
Very happy with all the resources provided with my package. Excellent Customer Service
PROSEase of use, and completeness of the product.
CONSThe comany provides everything I need to stay in compliance.
Libby
Investment Management, 2-10 employees
Used daily for less than 2 years
OVERALL RATING:
5
EASE OF USE
4
VALUE FOR MONEY
4
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed November 2023
Review as a user and administrator.
Overall, the system is great. However, there is so much optionality with the system, that it can be overwhelming.
PROSThe support team is fabulous!! Each time I call they are helpful and patient.
CONSThe 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.
Michael
Financial Services, 2-10 employees
Used weekly for more than 2 years
OVERALL RATING:
5
EASE OF USE
5
VALUE FOR MONEY
4
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed April 2023
ComplySci Alternative
These are check the box solutions for our mutual clients. Being a small registered entity these days and stay compliant can be daunting..
PROSIt is very hard to match their support. Often time I find myself talking to the same person, which is very encouraging.
CONSBecause I don't use it daily, it can be a bit challenging to remember all the functionality.
Reason for choosing ComplySci
These are generally our clients decision, we do offer recommendations on occasion
Chan-Ree
Financial Services, 501-1,000 employees
Used daily for more than 2 years
OVERALL RATING:
5
EASE OF USE
4
VALUE FOR MONEY
4
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed October 2021
Great compliance software for any type of financial firms
Very comfortable.
PROSThe ease of navigating through different program for daily monitoring purposes.
CONSThe 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
Financial Services, 1,001-5,000 employees
Used daily for less than 12 months
OVERALL RATING:
5
EASE OF USE
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed June 2022
Schwab Compliance Technologies to ComplySci
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.
PROSRobust reporting, certifications functionality
CONSPreclearance vs. self reporting understanding at the beginning coming from SCT.
Reasons for switching to ComplySci
Looking for more firm feeds for account oversight and we were moving to use company wide not just for our regulated entities.
Christa
Investment Banking, 201-500 employees
Used daily for more than 2 years
OVERALL RATING:
5
EASE OF USE
4
VALUE FOR MONEY
4
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed September 2021
Worth the money, but legwork is needed
8/10
PROSI like that it is all housed in one place for our compliance needs
CONSits not completely editable. There are some things like simple words that cant be changed.
Reason for choosing ComplySci
referral from another bank
Uche
Investment Management, 201-500 employees
Used daily for less than 12 months
OVERALL RATING:
5
EASE OF USE
4
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed February 2022
ComplySci feedback
I have said it many times We have the best relationship manager and support is fantastic.
PROSOnboarding 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.
CONSThere 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.
Reason for choosing ComplySci
I only started using ComplySci after it was deployed.
Marc
Real Estate, 201-500 employees
Used daily for more than 2 years
OVERALL RATING:
4
EASE OF USE
3
VALUE FOR MONEY
4
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed December 2021
Great Compliance Monitoring Platform
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.
PROSEasy for users to add accounts, submit pre-clearance requests, view their records, etc.
CONSTricky and sometimes difficult to navigate certification management and reviewing existing certifications; not super intuitive with the different options
Michael
Financial Services, 11-50 employees
Used daily for more than 2 years
OVERALL RATING:
4
EASE OF USE
4
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
5
Reviewed June 2022
CompySci usage
Easy to roll out policies and procedures and administer certifications
CONSSetup 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
Tamari
Investment Management, 201-500 employees
Used daily for less than 12 months
OVERALL RATING:
4
EASE OF USE
3
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed October 2021
2 level approval
overall it does its job to comply with government regulations
PROSI 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
CONSit 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
Reason for choosing ComplySci
no . it was already there
Irene
Financial Services, 51-200 employees
Used daily for less than 2 years
OVERALL RATING:
5
EASE OF USE
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed September 2021
ComplySci Review - Compliance
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.
PROSIt's tracking feature for trade requests, certifications, data feeds and employee details.
CONSThe many discrepancies and holes that can be found on a day to day basis.
Milagros
Financial Services, 11-50 employees
Used weekly for more than 2 years
OVERALL RATING:
5
EASE OF USE
5
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed July 2021
A real time saver
while i cannot compare to other software, i am truly happy with what i am getting.
PROSi 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.
CONSi cannot easily download individual employee statements when requested by auditing.
Brooke
Financial Services, 11-50 employees
Used weekly for more than 2 years
OVERALL RATING:
5
EASE OF USE
4
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
5
Reviewed September 2021
Great Compliance Software for smaller firms
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.
PROSComplySci makes compliance certifications easy and the customer support is quick and efficient.
CONSThat there are many asset managers who don't yet use the personal trading data stream feature.
Ashley
Financial Services, 11-50 employees
Used weekly for less than 2 years
OVERALL RATING:
5
EASE OF USE
5
VALUE FOR MONEY
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
5
Reviewed July 2021
ComplySci Review
Very positive, great support
PROSThe product is very easy to use, I like the features to track employee certifications the most.
CONSI do not have any complaints about this product.
Sue
Financial Services, 51-200 employees
Used weekly for less than 6 months
OVERALL RATING:
5
EASE OF USE
5
CUSTOMER SUPPORT
5
FUNCTIONALITY
4
Reviewed December 2021
ComplySci
Easy to use and understand, new to the company and to software such as this.
CONSReceiving an email for every item completed - would prefer to only receive them when there is an action required.