# COMPLY Reviews 2026. Verified Reviews, Pros & Cons | Capterra > Is COMPLY the right Compliance solution for you? Explore 24 verified user reviews from people in industries like yours to make a confident choice. Source: https://www.capterra.com/p/158178/ComplySci/reviews --- COMPLY 4.8 (24) [View alternatives](https://www.capterra.com/p/158178/ComplySci/alternatives/) Provider data verified by our Software Research team, and reviews moderated by our Reviews Verification team. [Learn more](https://www.capterra.com/our-story/) * * * Last updated December 14th, 2025 # Reviews of COMPLY Ease of use 4.3 Customer Service 4.8 ## Pros and Cons in Reviews JD John D Senior Compliance AssociateInvestment Management, 51 - 200 employeesUsed the software for: More than 2 years. “Automating workflows in ComplySci has allowed us to achieve operational alpha and the customer service is incredible.“ May 9, 2024 AS Ashley S Compliance Analyst Financial Services, 11 - 50 employeesUsed the software for: 1-2 years. “The product is very easy to use, I like the features to track employee certifications the most.“ July 27, 2021 ## Showing most helpful reviews Showing 1-24 of 24 Reviews Sort by: Most Helpful Rating Company Size Reviewer's Role Length of Use Frequency of Use AK Alona K. Associate Director Financial Services Used the software for: 2+ years ### "I love ComplySci!" November 11, 2024 5.0 Fantastic. I have been working with ComplySci for years, typically facilitating the organization of the system for broker-dealers as an outsourced consultant and think it's a great product that automates a lot of the administrative compliance tasks. Pros I love the functionality and quick and thorough customer support. Cons Perhaps the difficulty in getting multiple feeds set up with multiple brokers. Review Source AA Angela A. Secretary Financial Services Used the software for: 1-2 years ### "A very intuitive, user friendly way to keep track of compliance issues." July 25, 2024 5.0 It's been an enjoyable process working with ComplySci. It keeps me on track with my compliance needs. Pros Calendar and documentation of compliance reviews. Cons A little pricey, and sometimes communicating with support staff is not as efficient as I would like. Switched from [ACA Compliance](https://www.capterra.com/p/179749/ACA-Compliance-Solution/) I needed the documentation features that complysci offers. Review Source PC Pauline C. Compliance Officer Financial Services Used the software for: 1-2 years ### "Review" January 6, 2022 2.0 Poor to Fair Pros It is a place to automatically keep certifications and compliance records. Cons It is very difficult to use with little training available. Most brokers do not feed into the system. Confusion when to use Data Records and when to use Reports to extract the required data. Alternatives considered [WinSIMS](https://www.capterra.com/p/154857/WinSIMS/) Reason for choosing COMPLY Looked good at demo Review Source DB Donald B. Wealth Manager Financial Services Used the software for: 1-2 years ### "ComplySci support" November 5, 2024 5.0 We have utilized the services of ComplySci for over 13 years now. all the representatives are knowledgable, professional and take ownership of any and all issues. Pros The team has always provided exceptional advice and service to my firm. Questions are addressed directly, efficiently and always to my satisfaction. Cons Overall this is the finest service I have utilized. At times some of the compliance work does not apply to my firm but that is quickly overcome. Review Source JF Jayme F. Managing Partner Financial Services Used the software for: 2+ years ### "Do Not Try to do this on your own!" November 19, 2024 5.0 Excellent. A great value for an independent RIA. Pros ComplySci is the "complete package". I couldn't have done this on my own. Cons No complaints. I never felt pressured on missing a date or document, but helpful reminders. Review Source GP Garo P. Investment Advisor Representative Investment Management Used the software for: Less than 6 months ### "COMPLYSci very helpful" December 11, 2024 5.0 Proactive notice, easy scheduling, and patient and helpful expert on the phone with me. Pros Industry expertise, helpful online tools Cons No complaints. Easy process, lots of questions answered. Review Source JD John D. Senior Compliance Associate Investment Management Used the software for: 2+ years ### "Best Compliance Software on the market" May 9, 2024 5.0 Pros Automating workflows in ComplySci has allowed us to achieve operational alpha and the customer service is incredible. Cons Everything about Complysci is fantastic. Review Source ST Samantha T. Compliance Coordinator Banking Used the software for: 6-12 months ### "Excellent Tool " March 15, 2024 5.0 Just an excellent tool and the support system from inception has been wonderful. No matter what question you may have there are FAQs or a support team. Pros The ease of using the system , it allows you to navigate with ease. I really like the notes function which allows you to track which is especially helpful if you need to do a lookback. Cons Sometimes it may time out a bit quickly Review Source BD Brandon D. Vice President Financial Services Used the software for: 2+ years ### "ComplySci Review" January 5, 2022 5.0 The personal trading review process is done significantly faster because there are less employees to track down for paper statements. ComplySci provides a great platform for tracking the completion of employee compliance questionnaires and any conflicts of interest disclosed therein. Pros ComplySci's customer service is extremely helpful in navigating new features of the platform, which are being developed and rolled out on a regular basis. The number of brokers that feed electronically to ComplySci tremendously reduces the burden of chasing employees for paper statements. Cons The integration process can be a bit challenging, especially setting up pre-clearance rules for larger or more complex organizations. Building out certifications can be challenging for first-time administrators. Review Source MK Milagros K. Chief Compliance Officer Financial Services Used the software for: 2+ years ### "A real time saver" July 27, 2021 5.0 while i cannot compare to other software, i am truly happy with what i am getting. Pros i can enter recurring requests and only need to do so one time. i am beginning to add training presentations and having team respond to questions and certify. employee trading is a breeze to track and you are constantly adding new brokers. support team is great. Cons i cannot easily download individual employee statements when requested by auditing. Review Source MB Michael B. Owner/Partner Financial Services Used the software for: 2+ years ### "ComplySci Alternative" April 16, 2023 5.0 These are check the box solutions for our mutual clients. Being a small registered entity these days and stay compliant can be daunting.. Pros It is very hard to match their support. Often time I find myself talking to the same person, which is very encouraging. Cons Because I don't use it daily, it can be a bit challenging to remember all the functionality. Reason for choosing COMPLY These are generally our clients decision, we do offer recommendations on occasion Review Source LG Libby G. Chief Compliance officer Investment Management Used the software for: 1-2 years ### "Review as a user and administrator." November 2, 2023 5.0 Overall, the system is great. However, there is so much optionality with the system, that it can be overwhelming. Pros The support team is fabulous!! Each time I call they are helpful and patient. Cons The system is very good but sometimes there is too much information that it can be a bit overwhelming. Once you use certain functions a couple of times and get to know the nuances, it's helpful and pretty easy to use. Review Source CK Chan-Ree K. Senior Compliance Officer Financial Services Used the software for: 2+ years ### "Great compliance software for any type of financial firms " October 1, 2021 5.0 Very comfortable. Pros The ease of navigating through different program for daily monitoring purposes. Cons The software can improve in the area where returning to a previous page will take you to where you left off rather than refreshed page where I have to search again for where I left. Review Source TD Tamari D. Compliance Officer Investment Management Used the software for: 6-12 months ### "2 level approval " October 5, 2021 4.0 overall it does its job to comply with government regulations Pros I like how easy it is to run reports. a preclearance approval process is set u an easy way done. like how system helps you to customise Cons it doe not have a two-level approval system. for example if pre-clearance needs to be approved it has to go two-level approval process based on company policy. Complyscy does not have two-level approval system Reason for choosing COMPLY no . it was already there Review Source UA Uche A. Compliance Officer Investment Management Used the software for: 6-12 months ### "ComplySci feedback" February 7, 2022 5.0 I have said it many times We have the best relationship manager and support is fantastic. Pros Onboarding and Direct feed. Very easy to use. I was not with AIMCo when ComplySci was deployed but i would imagine it was a seamless integration with our existing applications. Cons There is still some work around pre-clearance option and flagging of accounts that involved users that have been "retired". I will be working with the team on these. Reason for choosing COMPLY I only started using ComplySci after it was deployed. Review Source MS Marc S. CCO Real Estate Used the software for: 2+ years ### "Great Compliance Monitoring Platform" December 17, 2021 4.0 ComplySci has been helpful to ensure we are collecting the data we need in a central repository, where we can easily produce records as needed to meet our ongoing obligations. Pros Easy for users to add accounts, submit pre-clearance requests, view their records, etc. Cons Tricky and sometimes difficult to navigate certification management and reviewing existing certifications; not super intuitive with the different options Review Source KR Katie R. Lead Compliance Analyst Financial Services Used the software for: 6-12 months ### "Schwab Compliance Technologies to ComplySci" June 8, 2022 5.0 The onboarding team was great to work with. We have a complex setup and they were with us each step of the way. Now that we have onboarded they didn't leave us hanging. We have a success manager we meet with regularly. They listen to our suggested system enhancements. Any issues are resolved quickly and we are kept informed. Pros Robust reporting, certifications functionality Cons Preclearance vs. self reporting understanding at the beginning coming from SCT. Review Source MM Michael M. CCO Financial Services Used the software for: 2+ years ### "CompySci usage" June 8, 2022 4.0 Pros Easy to roll out policies and procedures and administer certifications Cons Setup for broker feeds is very time consuming. I wish there was a paid service that COmplySci could offer to handle the follow up with all brokers Review Source CW Christa W. Compliance Manager Investment Banking Used the software for: 2+ years ### "Worth the money, but legwork is needed" September 15, 2021 5.0 8/10 Pros I like that it is all housed in one place for our compliance needs Cons its not completely editable. There are some things like simple words that cant be changed. Reason for choosing COMPLY referral from another bank Review Source BC Brooke C. Compliance Officer Financial Services Used the software for: 2+ years ### "Great Compliance Software for smaller firms" September 24, 2021 5.0 ComplySci is our first and only compliance software. It has been a great addition to our compliance program and has helped streamline many compliance tasks like political contribution, personal trading reporting, and our compliance certifications. Pros ComplySci makes compliance certifications easy and the customer support is quick and efficient. Cons That there are many asset managers who don't yet use the personal trading data stream feature. Review Source IV Irene V. Compliance Assistant Financial Services Used the software for: 1-2 years ### "ComplySci Review - Compliance" September 15, 2021 5.0 For the most part ComplySci does the job but still needs upgrades as previously mentioned and brought up by members of my team and I. Pros It's tracking feature for trade requests, certifications, data feeds and employee details. Cons The many discrepancies and holes that can be found on a day to day basis. Review Source AS Ashley S. Compliance Analyst Financial Services Used the software for: 1-2 years ### "ComplySci Review" July 27, 2021 5.0 Very positive, great support Pros The product is very easy to use, I like the features to track employee certifications the most. Cons I do not have any complaints about this product. Review Source GD GUY D. Managing Member Financial Services Used the software for: 1-2 years ### "Very Satisfied" January 2, 2024 5.0 Very happy with all the resources provided with my package. Excellent Customer Service Pros Ease of use, and completeness of the product. Cons The comany provides everything I need to stay in compliance. Review Source SH Sue H. Senior Compliance Associate Financial Services Used the software for: Less than 6 months ### "ComplySci" December 16, 2021 5.0 Pros Easy to use and understand, new to the company and to software such as this. Cons Receiving an email for every item completed - would prefer to only receive them when there is an action required. Review Source Similar Products Featured