ComplySci

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.

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

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

• Regulatory compliance software
• Trade monitoring platform
• Communications archiving
• Employee compliance tracking
• Financial services compliance

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices6 records

Markets served

GTM type

B2B

Offering type

Software

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure

Revenue model

1. 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.
2. Professional Services: Services include Regulatory Compliance Consulting, Regulatory Filings, Managed Services, and New Firm Registration, which complement the core software platform.

Pricing tiers

Go-to-market motion1 record

Distribution channels4 records

Marketing channels6 records

Core 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

Named customers1 record

Segments6 records

Ideal customer profiles3 records

Technology focussed Yes

API detail

Has API

Yes

API docs

API detail

Core technology

AI maturity

App detail

Integration11 records

AI capability7 records

Feature6 records

Partnerships

One partnership is on record.

• LeapXpertcoreTechnology or IntegrationPartnership 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

Direct 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

• Xx.com/ComplySci
• LinkedInlinkedin.com/company/complysci

Compliance4 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles13 records

Subsidiaries1 record

Funding overview

Funding rounds4 records

Investors3 records

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A3 records

Investments1 record

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about ComplySci