Duff & Phelps has partnered with ComplySci, the industry leader in providing technology solutions to compliance professionals to create a unique and powerful compliance administration software tool, which allows compliance departments to monitor their employees core regulatory obligations and create firmwide certifications and attestations. It also enables firms’ compliance departments to schedule their annual regulatory obligations and carry out monitoring checks.
ComplySci provides organizations with a comprehensive employee risk management system. It offers real-time insights and analytics via executive dashboards, supervisor dashboards and customizable reports. The system offers direct broker fees from over 180 sources, giving compliance officers greater coverage and uniform processing of broker attestations, while eliminating paper-based work flows. The user experience is frictionless, with seamless mobile access on any device, and easily scales for companies with a global workforce.
Clients work directly with Duff & Phelps’ compliance professionals to manage the platform and engage employees in a comprehensive, web-based compliance management system. The platform enables compliance officers to manage employee certifications, personal trading pre-clearance and analysis, gift and entertainment logs, political contributions and a multitude of other compliance functions, all in a real-time digital environment.
The platform is automated, flexible and scalable, providing real-time insights and superior data while eliminating cumbersome, paper-based reporting. Duff & Phelps consultants engage directly with clients to manage and monitor the implementation and ongoing performance of a dynamic compliance monitoring system. Duff & Phelps’ compliance experts work with you every step of the way in the implementation, development and execution of this innovative technology solution.
Existing employee and compliance monitoring solutions can be time consuming and inefficient. Our partnership enables the implementation of paperless, automated and streamlined processes to produce clear audit trails and records. The technology also includes helpful analytics and reporting that provide insights into patterns, trends and exceptions.
The combination of Duff & Phelps and the ComplySci platform will help your firm
- Protect against reputational damage
- Manage supervisory risk
- Manage conflicts of interest
- Mitigate employee risk
- Manage supervisory risk
- Demonstrate a culture of compliance
- Boost compliance team efficiency
Please contact Duff & Phelps for a demonstration of this powerful technology solution.
Compliance and Regulatory Consulting
Local and global compliance expertise for the financial services industry.Compliance and Regulatory Consulting
Comprehensive compliance and regulatory support for FCA authorized firms.UK Regulation
Comprehensive support for asset managers registering in the U.S.U.S. Regulation