COMPLY Software

COMPLY Software

Last Updated Sep 15, 2025

Overview

COMPLY is a unified compliance management platform designed for financial services firms to streamline regulatory obligations and reduce risk exposure. It offers expert consulting, real-time oversight, and workflow automation. While some features may feel complex at first, the platform’s scalable tools and advisory services enhance long-term compliance efficiency and resilience.

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Starting Price
Custom

What Is COMPLY Software?

COMPLY software is a comprehensive compliance management platform built for financial services firms seeking to streamline operations and adapt to evolving regulatory demands. Combining data, consulting, education, and support, the software enables scalable compliance programs and mitigates regulatory risk. With deep expertise in SEC, FINRA, FCA, and state regulations, COMPLY supports over 5,600 clients across 61 countries, including investment banks, hedge funds, RIAs, broker-dealers, and insurance firms.

COMPLY Software Pricing

COMPLY software pricing is offered at a flat annual rate of $3,000. Contact us to get a customized COMPLY software price quote tailored to your organization’s specific needs.

Disclaimer: The pricing has been sourced from a third-party website and is subject to change.

COMPLY Software Integrations

The software supports integration with platforms such as MyRIACompliance and Advyzon.

Watch a free COMPLY software demo to learn more about its integration arrangements.

Who Is COMPLY Software For?

COMPLY software serves across a wide range of sectors, including:

  • Private funding firms
  • Wealth management firms
  • Registered investment advisor (RIA)
  • Broker and dealers
  • Investment banks
  • Endowments

Is COMPLY Software Right For You?

Looking to strengthen compliance operations? COMPLY may be a strong choice for financial services firms seeking proactive, tech-enabled risk management. With a unified platform, consulting expertise, and support for over 5,600 clients, COMPLY centralizes regulatory oversight, protects reputation, and promotes resilience. The software’s holistic approach empowers firms to meet evolving obligations while maintaining operational excellence and long-term growth.

Still unsure about COMPLY software? Contact our support team at (661) 384-7070 for additional support and tailored guidance.

Pros And Cons of COMPLY Software

Pros

  • Helps track compliance reviews and documentation

  • Offers a useful notes function for lookback tracking

  • Strong reporting and personal trading review functionality

Cons

  • Multiple broker feed setups can be challenging

  • Flagging retired accounts in pre-clearance needs improvement

Frequently Asked Questions

Yes, COMPLY software offers API access.

COMPLY software supports English.

Yes, COMPLY software offers a mobile app (ComplySci) available for both Android and iOS devices.

COMPLY software serves a diverse range of sectors, including private funding firms, wealth management firms and RIAs, brokers, dealers, investment banks, and endowments.

The software integrates with platforms such as Advyzon and MyRIACompliance.

COMPLY software provides 24/5 support through chat, a resource hub, and scheduled demos.

COMPLY software cost includes a flat annual rate of $3,000. Custom packages may also be available depending on specific organizational requirements.