Comply Reviews & Product Details

Comply is a comprehensive compliance solution that has greatly enhanced our compliance program. Tools like the Annual Review Tool and Risk Assessment have made our processes more efficient and centralized everything we need. The Compliance calendar is especially useful, allowing us to track outstanding compliance tasks each day and better prioritize my workload. The software itself is user-friendly, and our employees regularly use it to submit compliance activities for review. Additionally, the customer support team is approachable and always ready to assist with filings and any other requirements. Review collected by and hosted on G2.com.

There’s very little we dislike about Comply. The main issue that comes to mind is that the Continuing Education credits for the IAR CE Requirement tend to be somewhat dull and challenging to complete. In addition, we would appreciate more proactive outreach from our compliance consultant, as the current approach feels more reactive than we would like. Review collected by and hosted on G2.com.

What I appreciate most about this service is the overall ease of use—everything is straightforward and intuitive. The ease of implementation made getting started simple and stress-free, which I greatly value.

Their customer support has been outstanding, always responsive and helpful whenever I’ve reached out. I also find that the platform encourages frequent use, as it is reliable and efficient in meeting daily needs.

The wide number of features provides flexibility without feeling overwhelming, and each tool integrates seamlessly into my workflow. The ease of integration with existing systems further enhances productivity and makes this service an excellent fit.

Overall, my experience has been extremely positive, and I highly recommend it. Review collected by and hosted on G2.com.

Thus far, my experience has been entirely positive without any downsides. Review collected by and hosted on G2.com.

Under COMPLY, we utilize RIA in a Box for all of our compliance needs. I feel comfortable knowing that the services will keep us SEC compliant throughout the year! The customer service they provide is awesome and a friendly, professional rep always replies to our service requests quickly. Review collected by and hosted on G2.com.

I have found no downside to using RIAinaBox at this time. Review collected by and hosted on G2.com.

ComplySci is exceptionally end-user-friendly, especially compared to other similar platforms. Our employees appreciate how intuitive it is and how it takes “fewer clicks” to get to a result. The interface is streamlined, which makes daily use fast and efficient — I personally use it several times each day. From an admin perspective, I value the level of control and flexibility it provides; we can configure many aspects of our site ourselves — such as creating certifications, adding custom securities, and managing employee records — without having to rely on support. The dedicated customer support team assigned to us is fantastic, friendly, and knowledgeable, which makes interactions easy and effective. Overall, ComplySci combines strong functionality with a simple, efficient user experience. Review collected by and hosted on G2.com.

While overall support is responsive and helpful, there can occasionally be some variability in the level of familiarity with our specific setup when working with the broader support team. Additionally, like many SaaS platforms, new software releases can sometimes introduce minor bugs that temporarily affect site performance. These issues are typically resolved quickly, but they can cause short-term disruption. Review collected by and hosted on G2.com.

They are always available and have solutions in a very timely manner. Always courteous and resourceful. I monitor multiple Wall Street firms, and their system is the easiest and fastest for monitoring, notification of violations, and reviewing to comply with FINRA regulations. Receiving pre-approval requests daily and reviewing transactions weekly, Comply allows me to better utilize my time where needed. Implementation was well designed for getting up and running quickly and efficiently. Review collected by and hosted on G2.com.

Just remember that YOU have to contact other brokerage firms to get the required documentation to establish the link. Then, you have to go to their websites and enter the accounts to be monitored. It would be nice if Comply would do all of this for you. Review collected by and hosted on G2.com.

We use the MyRIACompliance platform and the higher service level with dedicated consultant hours. The platform is easy to set up and easy for employees to use. It has the tools that our team needs and COMPLY has added features during the time we've been clients. We've been very happy with both our primary consultant and our customer success manager. They are responsive and knowledgeable, and I am confident that I'm receiving good advice. Review collected by and hosted on G2.com.

The tool for monitoring employee trades isn't as effective as I'd like it to be, but I know that the equivalent tool on their ComplySci platform works much better. Review collected by and hosted on G2.com.

The Help call center people. They are good Review collected by and hosted on G2.com.

Recent changes especially being unable to access accounts on User profiles/details. Now I must go to Data Records > Accounts. Review collected by and hosted on G2.com.

The MDE service has been very valuable for us, and the customer service team is always extremely helpful and knowledgeable whenever our team has any questions or concerns. Review collected by and hosted on G2.com.

So far, we have not encountered any drawbacks while using Comply. Review collected by and hosted on G2.com.

From the user's perspective, the system operates seamlessly, and our employees are very pleased with it. Review collected by and hosted on G2.com.

The data management reporting could really use an overhaul. It's currently difficult to generate a clean report without running into various challenges. Review collected by and hosted on G2.com.

Responsiveness, useful feature rollouts. Review collected by and hosted on G2.com.

N/A - Nothing to report in this review.. Review collected by and hosted on G2.com.