From Manual Data Entry to Intelligent Data Solutions 

Complete employee trade monitoring starts with complete data. Broker feeds handle the majority of accounts but not every brokerage supports electronic data sharing, and when an account can’t feed electronically, that data still needs to come from somewhere. For years, that somewhere was a manual process: paper statements, separate storage, and a compliance team responsible for bridging the gap.  

Comply’s Data Services Team launched Intelligent Data Solutions, a managed service that handles the accounts your broker feeds can’t reach, combining AI-powered extraction with hands-on expert review to keep your employee trade data complete and accurate. 

What Changed, and Why It Matters 

You may know this service by its previous name, manual data entry. But this rename also reflects a change in the way the work gets done.  

When an employee uploads a statement or mails one in, Comply’s Data Services Team uses AI to extract transactions and holdings data directly from the document. The system handles translation, but every output is reviewed by a member of the Data Services Team before anything is published into the platform.  

For years, managed services in compliance meant people doing manual work on your behalf. While this model still exists, it has evolved, and now AI handles the heavy lifting, and experts who make sure it’s right.  

What the Service Covers 

Employees upload their statements directly into the Comply Platform, or send them by mail. The Data Services Team is automatically notified when a statement is ready for review. From there, AI extracts the transaction and holdings data, the team verifies the output, and verified data is published into the platform alongside your electronic feed data. Everything lives in one place. 

From there, the service handles the rest: 

• Every processed statement is cross-referenced against your firm’s preclearance rules automatically 

• Potential violations and unmatched trades surface without waiting for manual reconciliation 

• The Statement Tracking Report gives compliance teams real-time visibility into processing status across every account 

• Statements can be submitted monthly, quarterly, or as needed 

• Digital upload and mail-in delivery are both still supported 

• Statements in multiple languages are supported, covering firms with internationally based employees or accounts at foreign brokerages 

The Expertise Behind Every Statement 

Comply’s Data Services Team has reviewed more than 314,000 statements across 33,900 accounts for over 170 firms, spanning 3,627 unique brokers. That breadth of experience matters when your monitored employees hold accounts at a wide range of institutions. 

More than 15 years of compliance technology experience sits behind the service. The team knows the brokers, knows the formats, and knows what accurate data is supposed to look like before it ever reaches your platform. When a statement comes in from an institution you’ve never dealt with, that industry knowledge is what prevents it from becoming a problem. 

Close the Gap Without Adding to the Workload 

The value of Comply’s Intelligent Data Solutions isn’t simply faster statement processing. It’s more complete employee trade monitoring without more manual work for compliance. 

Electronic feeds can only show you the accounts they can reach. Intelligent Data Solutions can help bring the rest into the same compliance workflow—centralized, verified, and ready to monitor. Because the accounts that don’t connect shouldn’t be the accounts that create blind spots. 

Want to see how we can help close the gaps in your employee trade monitoring program? Let’s talk.