Orchestrate Your Entire Compliance Program with One Solution
COMPLY Program Management bridges the gap between operational execution and regulatory compliance strategy. Whether you're responding to new SEC, FCA, FINRA, or state requirements, preparing for your annual review, or managing third-party risk, CPM centralizes your compliance program — reducing manual work and enabling you to focus more time on strategic inititaives.
One Solution. Total Command.
COMPLY Program Management connects your daily operations to your broader compliance strategy:
Policy to Practice
Build and enforce firmwide policies with our integrated policy builder. Align updates with regulatory changes, then certify employee adherence — creating a compliance-first culture from the ground up.
Unified Oversight
Centralized calendars and automated risk assessments ensure daily activity aligns with strategic goals — empowering CCOs to see the full picture, not just isolated tasks.
Increased Visibility
Track and integrate daily compliance events — from trade monitoring to OBAs and gifts and entertainment — directly into your annual reviews and risk assessments.
Enforcement & Resolution
Flag violations, document investigations, manage remediation, and report resolutions — all in one system. Actions are documented, reportable, and audit-ready.
Insider Risk Prevention
Manage MNPI, wall crossings, and restricted lists in real time to prevent employee trades in specific securities and protecting your firm against insider trading risks.
Regulatory Readiness On-Demand
All your data. All in one place. Instantly accessible and organized — so you’re always ready for audits, exams, and internal reviews.
What Can You Do with COMPLY Program Management?
Intelligent Policy Builder
Create and maintain manuals — Policies and Procedures, Written Supervisory Procedures (WSPs), Code of Ethics, AML for broker-dealers and RIAs — with smart guidance and policy recommendations.
- Auto-recommendations based on updates from SEC, FINRA, and FCA
- Curated guidance from compliance professionals
- Version control and edit tracking for documentation
Compliance Calendar
Automate task tracking with an intelligent calendar populated with your firm’s events. As rules change and your calendar evolves, COMPLY’s regulatory experts push updates to ensure you’re staying ahead of the regulatory curve.
- Continuously updated by regulatory experts
- Best-practice instructions incorporated with tasks
- Generate reports with a full audit trail of activities
Risk Assessment Tool
Systematically evaluate and document risk across areas like cybersecurity, vendor oversight, and frequent traders.
- Assign risks based on low, medium, and high scale
- Connect identified risks to existing or updated policies
- Exportable reports for audits, board reviews, or internal analysis
Annual Review Tool
Ditch the last-minute scramble. Execute and document your annual review throughout the year — aligned with the SEC’s updated annual review expectations.
- Calendar-linked tasks and reminders to keep you up to date
- Ongoing documentation to build your final report in real-time
- Export a comprehensive review with supporting data for regulators and stakeholders
Vendor Due Diligence
Centralize third-party oversight to meet expectations under regulatory outsourcing guidance, cybersecurity rules, and AML programs.
- Centralized vendor database with risk-based categorization
- Pre-built templates for due diligence questionnaires
- Track renewal dates, risk scores, and remediation plans
You're invited to an exclusive first look at CPM enhancements
Join David Bliss, Chief Product Officer, and Oron Arbogast, Solution Engineer, as they showcase the upcoming release of COMPLY Program Management.
April 30, 11:00 AM — 11:45 AM EDT
Save your seatBook your demo today!
Schedule a meeting with our sales team for a deep dive into your compliance needs.
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