ComplySci
Comply (formerly ComplySci) provides a 360-degree regulatory compliance SaaS platform for financial services firms, covering trade monitoring, code of ethics, communications archiving, risk assessments, and AI-powered compliance agents for broker-dealers, RIAs, hedge funds, and investment banks.
- Company typePrivate
- Founded2003
- HeadquartersNew York, United States
- Headcount51–100
- GTM typeB2B
- OfferingSoftware
What ComplySci does
Comply (formerly ComplySci) is a privately held compliance technology platform serving regulated financial services firms. Founded in 2003 and headquartered in New York, the company provides a 360-degree regulatory compliance solution covering employee-level compliance (trade monitoring, code of ethics, conflicts of interest, case management), firm-level compliance (risk assessments, annual review, intelligent policy builder, best interest compliance), multi-channel communications archiving (email, iMessage, WhatsApp, LinkedIn, X, professional messaging in WORM-compliant format), and individual accountability modules supporting FCA SMCR requirements. Its technology stack centers on a SaaS platform with native AI capabilities delivered through the ComplyAI layer, which includes the ComplyAI Policy Guide (natural-language compliance manual retrieval) and, launched in April 2026, the ComplyAI MCP Server — described as the financial services industry's first enterprise-grade Model Context Protocol server enabling compliance teams to build custom AI agents without developers across Claude, Microsoft Copilot, and ChatGPT.
The company's revenue model combines SaaS platform subscriptions (annual, quote-based enterprise pricing) with professional services spanning regulatory compliance consulting, regulatory filings, managed services, and new firm registration. Go-to-market is a direct enterprise field-sales motion targeting broker-dealers, hedge funds, investment banks, private funds, wealth managers, and RIAs in the U.S. and UK/Europe, complemented by a self-serve motion for mid-market RIAs via Comply for RIA. The product portfolio has been expanded through three 2021 acquisitions (NRS/ComplianceGuardian for consulting and education, illumis for political contribution monitoring, and RIA in a Box for the RIA mid-market), all of which were retained as distinct product brands under the unified Comply corporate identity established during a 2025 rebrand.
Comply is institutionally backed by K1 Investment Management, which invested $120 million in June 2021, and operates across six office locations in the U.S., UK, and India. The company is privately held, holds SOC 2 Type 2 and EU-U.S./UK/Swiss Data Privacy Framework certifications, and is GDPR and CCPA compliant — trust markers that are increasingly decisive in regulated buyer procurement cycles.
ComplySci firmographics
Firmographics- Name
- ComplySci
- Legal name
- Compliance Science, Inc.
- Website
- https://complysci.com
- Company type
- Private
- Founded year
- 2003
- Operating status
- Operating
- Headcount range
- 51–100 employees
- Short description
- Comply (formerly ComplySci) provides a 360-degree regulatory compliance SaaS platform for financial services firms, covering trade monitoring, code of ethics, communications archiving, risk assessments, and AI-powered compliance agents for broker-dealers, RIAs, hedge funds, and investment banks.
- Ownership category
- akta.pro rank
ComplySci industry classification
Industry- Product category
- Financial Services Compliance Software
- NAICS
- Investigation and Security Services (5616)
- SIC
- Services-Computer Programming, Data Processing, Etc. (7370)
- akta.pro primary industry
- Regulatory Compliance Management (Policies, Attestations, Obligations Mapping) (FSAFAKAG)
- akta.pro secondary industries
- Post-Trade Compliance & Transaction Reporting (MiFID/EMIR/SFTR/CAT) (FSACAJAD), Regulatory Compliance Advisory (BPAHAFAB)
Keywords
Where ComplySci is headquartered
LocationHeadquarters
- HQ city
- New York
- HQ country
- United States
- HQ region
- North America
Offices6 records
Markets served
ComplySci business model
Business model- GTM type
- B2B
- Offering type
- Software
- Cost components
- Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure
Revenue model
- SaaS Platform Subscriptions: Comply operates as a SaaS compliance platform provider with subscription-based pricing. The platform is described as a comprehensive solution for complex compliance requirements, with pricing likely tiered based on firm size, complexity, and number of users.
- Professional Services: Services include Regulatory Compliance Consulting, Regulatory Filings, Managed Services, and New Firm Registration, which complement the core software platform.
Pricing tiers
| Model | Billing | Price |
|---|---|---|
| Subscription | Annual | Quote-based enterprise pricing tailored to firm size and requirements |
Go-to-market motion1 record
Distribution channels4 records
Marketing channels6 records
ComplySci product offering
Product offeringCore offering
Comply provides a web-based SaaS compliance monitoring platform for financial services firms that tracks employee activity against firm codes of ethics, monitors trades through direct broker feeds, archives communications in WORM-compliant format across multiple channels, and manages firm-level regulatory programs. The platform serves broker-dealers, RIAs, hedge funds, private funds, investment banks, wealth managers, and endowments with modules for trade monitoring, code of ethics, conflicts of interest, case management, risk assessments, and SMCR compliance, complemented by professional services including regulatory consulting, filings, and managed services.
Product overview
ComplySci operates as a unified compliance platform (now branded as Comply) with a platform-plus-modules architecture. The core Comply Platform (formerly ComplySci) provides comprehensive 360-degree regulatory compliance for financial services. The product portfolio includes Comply for RIA (formerly RIA in a Box) for registered investment advisors, illumis for political contribution monitoring, ComplianceGuardian (formerly NRS) for compliance consulting and supervision, and Comply Accountability for individual accountability. These products share the underlying Comply infrastructure and integrate through the ComplyAI intelligence layer. Solution modules span Employee Compliance (Trade Monitoring, Code of Ethics, Conflicts of Interest, Case Management, Reporting & Analytics), Firm Compliance (ComplyAI, Compliance Calendar, Risk Assessments, Annual Review, Intelligent Policy Builder, Best Interest Compliance), and Communications Archiving. Professional services including Registration Services, Regulatory Compliance Consulting, Regulatory Filings, and Managed Services complement the software offerings.
Differentiator
Problem solved
Functional benefit
Brands
- Comply Platform: The comprehensive solution to meet complex compliance requirements (formerly ComplySci).
- Comply for RIA
- illumis
- ComplianceGuardian
- Comply Accountability (IAR)
Quantifiable outcome
- Typical onboarding takes 6-8 weeks with dedicated support team assistance
- +1 more outcomes
Companies that use ComplySci
Customer profileNamed customers1 record
Segments6 records
Ideal customer profiles3 records
ComplySci technology and API
TechnologyTechnology focussed Yes
API detail
- Has API
- Yes
- API docs
- API detail
Core technology
AI maturity
App detail
Integration11 records
AI capability7 records
Feature6 records
ComplySci partnerships and signals
Strategic signalPartnerships
One partnership is on record.
- LeapXpertcorePartnership with LeapXpert enables Comply to offer truly native iMessage and WhatsApp capture for compliance purposes. Employees can text through iMessage and WhatsApp as they regularly would without app-switching. Captures full conversation threads, edited/deleted messages, timestamps, attachments, multimedia, and message reactions.
Scale indicators3 records
Recent moves6 records
Expansion highlights6 records
ComplySci competitors and assessment
Company assessmentDirect peers
- Smarsh: Smarsh is the most direct competitor in financial services communications archiving and compliance supervision, offering capture, archiving, and supervision across email, text, social, and chat — directly overlapping Comply's WORM-compliant archiving product.
- StarCompliance: StarCompliance provides employee compliance solutions for financial services, including code of ethics, conflicts of interest, trade monitoring, and personal trading — directly competing with Comply's employee compliance modules.
Broad incumbents
- NICE Actimize: NICE Actimize is a broad incumbent in financial crime, risk, and compliance, offering trade surveillance, communications compliance, and case management. It competes with Comply at the largest investment banks and broker-dealers as a wider-scope suite.
- Bloomberg Vault: Bloomberg Vault is Bloomberg's enterprise messaging and compliance archiving solution, deeply embedded in capital markets firms. It competes with Comply for communications archiving and supervision spend at investment banks and broker-dealers.
- Proofpoint: Proofpoint offers enterprise archiving, supervision, and eDiscovery, with overlap to Comply's compliance archiving and supervision use cases. As a broader cybersecurity and compliance incumbent, it competes for the same compliance IT budget.
Emerging players
- SteelEye: SteelEye is a UK-based RegTech offering communications surveillance, trade surveillance, and compliance reporting. It overlaps Comply on trade and communications monitoring and is a comparable emerging player in the same customer base.
- Behavox: Behavox applies AI to compliance surveillance, including communications monitoring, trade surveillance, and conduct risk. It is an AI-native emerging player whose capabilities intersect Comply's archiving and surveillance offerings.
- Theta Lake: Theta Lake focuses on communications compliance and archiving, with deep coverage of modern collaboration tools (Teams, Zoom, Webex). It competes directly with Comply's communications archiving module, especially in Microsoft-heavy environments.
- Onfido: Onfido provides AI-based identity verification and KYC/AML screening, adjacent to Comply's employee compliance workflows (background checks, due diligence). It represents an emerging player in identity-related compliance that financial services firms evaluate alongside Comply.
Others
- Wolters Kluwer: Wolters Kluwer (OneSumX) provides a broad regulatory compliance and risk management suite for financial institutions, including regulatory reporting and compliance program management — competing with Comply at large, multi-jurisdiction firms.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat6 records
Key risks7 records
Key highlights7 records
Customer concentration
ComplySci social profiles
Digital presenceComplySci compliance and trust
Trust signalCompliance4 records
ComplySci financial estimates
Financial estimateRevenue estimate
Valuation estimate
ComplySci leadership team
Management profileNumber of profiles
Profiles13 records
ComplySci subsidiaries and ownership
Company hierarchySubsidiaries1 record
ComplySci funding detail
Funding detailFunding overview
Funding rounds4 records
Investors3 records
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
ComplySci M&A and investment
M&A and investmentM&A3 records
Investments1 record
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about ComplySci
What does ComplySci do?
Comply provides a web-based SaaS compliance monitoring platform for financial services firms that tracks employee activity against firm codes of ethics, monitors trades through direct broker feeds, archives communications in WORM-compliant format across multiple channels, and manages firm-level regulatory programs. The platform serves broker-dealers, RIAs, hedge funds, private funds, investment banks, wealth managers, and endowments with modules for trade monitoring, code of ethics, conflicts of interest, case management, risk assessments, and SMCR compliance, complemented by professional services including regulatory consulting, filings, and managed services.
Is ComplySci a public or private company?
ComplySci is a private company. It is classified as private equity controlled and is currently operating.
When was ComplySci founded?
ComplySci was founded in 2003. It employs 51 to 100 people.
Where is ComplySci based?
ComplySci is headquartered in New York, United States, in the North America region.
How does ComplySci make money?
Two revenue lines are on record. SaaS Platform Subscriptions are the primary driver. The others are professional Services.
Who are ComplySci's main competitors?
Direct peers on record are Smarsh and StarCompliance. Broad incumbents are NICE Actimize, Bloomberg Vault and Proofpoint. Emerging players are SteelEye, Behavox, Theta Lake and Onfido. Wolters Kluwer is listed as an others.
Does ComplySci have an API?
Yes. ComplyAI MCP Server is an enterprise-grade Model Context Protocol server built specifically for financial services compliance. It connects Comply's compliance intelligence to major AI tools including Claude, Microsoft Copilot, and ChatGPT, enabling trade preclearance, policy guidance, certification workflows, and natural language compliance reporting through authorized compliance teams without developers. Developer documentation is at www.comply.com/resource/comply-launches-financial-services-first-agentic-compliance-platform-mcp-server-enabling-teams-to-build-custom-ai-agents-without-developers.
What industry is ComplySci in?
ComplySci's product category is Financial Services Compliance Software. Its primary akta.pro industry code is FSAFAKAG, Regulatory Compliance Management (Policies, Attestations, Obligations Mapping), with a secondary code of FSACAJAD, Post-Trade Compliance & Transaction Reporting (MiFID/EMIR/SFTR/CAT). Its NAICS code is 5616 and its SIC code is 7370.