# Comply Reviews **Vendor:** Comply **Category:** [Financial Risk Management Software](https://www.g2.com/categories/financial-risk-management) **Average Rating:** 4.1/5.0 **Total Reviews:** 23 ## About Comply Comply is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Headquartered in Arlington, Comply serves over 5,100 clients globally, including RIAs, broker-dealers, private funds, and global financial institutions. Our Comply Platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services. The Comply platform delivers a unified “command center” for modern compliance. Key capabilities include employee trade monitoring, certifications & attestations, risk assessments, case management, control room and conflict checking, communications archiving, and political contributions monitoring. With deep integrations and advanced workflows, Comply enables compliance teams to automate routine tasks, connect insights across the firm, and maintain a complete audit trail — all in a mobile-first, user-friendly experience. Comply empowers financial firms to turn compliance from a manual, fragmented process into a proactive and defensible program. By helping firms anticipate risks, close gaps faster, and prove supervision in action, Comply supports compliance leaders in staying ahead of enforcement trends, scaling with confidence, and safeguarding their firm’s reputation. Whether for a newly registered RIA or a global private fund manager, Comply provides the infrastructure firms need to build resilient, future-ready compliance programs. ## Comply Pros & Cons **What users like:** - Users appreciate the **fantastic customer support** of Comply, highlighting its friendly and knowledgeable team. (10 reviews) - Users highlight the **ease of use** of Comply, appreciating its intuitive interface and streamlined daily processes. (10 reviews) - Users value the **user-friendly interface** of Comply, which enhances efficiency and simplifies compliance processes. (9 reviews) - Users find the **customer service team extremely helpful** , providing valuable support and expert guidance whenever needed. (7 reviews) - Users appreciate the **effective compliance management** provided by Comply, ensuring year-round SEC compliance with ease. (5 reviews) - Compliance Management (4 reviews) - Efficiency Improvement (4 reviews) - Efficiency (3 reviews) - Users appreciate the **ease of use and integration** of Comply, enhancing productivity and ensuring a positive experience. (3 reviews) - Implementation Ease (3 reviews) **What users dislike:** - Users express frustration with **poor customer support** due to variability in expertise and unhelpful resources. (3 reviews) - Users find the **access limitations** frustrating, needing to navigate additional steps for account management and linking. (2 reviews) - Users find the **lack of guidance** frustrating, as help resources and consultant outreach feel insufficient and reactive. (2 reviews) - Users find the **learning difficulty** of Continuing Education credits for Comply to be dull and challenging to complete. (2 reviews) - Users report frustrating **access issues** , particularly with difficulties in reaching their accounts and profiles efficiently. (1 reviews) - Users experience occasional **minor bugs** that disrupt performance temporarily, despite generally responsive support from the team. (1 reviews) - Users find the **data inaccuracy** in Comply frustrating, as it complicates generating clean reports effectively. (1 reviews) - Users find the **reporting difficulties** in data management frustrating, hindering the generation of clean reports. (1 reviews) - Users find the **insufficient training** in Comply to be slow and boring, detracting from the learning experience. (1 reviews) - Users find **limited flexibility** in Comply for monitoring trades compared to alternatives, impacting its overall effectiveness. (1 reviews) ## Comply Reviews ### 1. Comprehensive, User-Friendly Compliance Solution with Outstanding Support **Rating:** 5.0/5.0 stars **Reviewed by:** Kevin C. | Operations Analyst, Small-Business (50 or fewer emp.) **Reviewed Date:** January 13, 2026 **What do you like best about Comply?** 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. **What do you dislike about Comply?** 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. **What problems is Comply solving and how is that benefiting you?** Comply has been instrumental in helping us establish a centralized repository for all our compliance-related matters. All compliance tasks and activities are stored in one location, making it easy to export them whenever necessary. The team is also responsive and available to address any specific questions we may have. Overall, they serve as a comprehensive compliance partner for our needs. ### 2. Outstanding Service Rendered **Rating:** 5.0/5.0 stars **Reviewed by:** Veronica C. | Administrator and Co-Compliance Officer, Small-Business (50 or fewer emp.) **Reviewed Date:** August 28, 2025 **What do you like best about Comply?** 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. **What do you dislike about Comply?** Thus far, my experience has been entirely positive without any downsides. **What problems is Comply solving and how is that benefiting you?** The service provides excellent assistance with maintaining accuracy in notes, ensures detailed and reliable archiving of client financial information, and offers great support with compliance regulations. ### 3. Sweet option for small RIAs **Rating:** 5.0/5.0 stars **Reviewed by:** Jennifer P. | Financial Analyst, Oil & Energy, Small-Business (50 or fewer emp.) **Reviewed Date:** August 26, 2025 **What do you like best about Comply?** 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. **What do you dislike about Comply?** I have found no downside to using RIAinaBox at this time. **What problems is Comply solving and how is that benefiting you?** RIA in a Box gives us a specific list of compliance tasks, including due dates and reminders. The explanation of tasks on the Compliance Calendar is a great benefit to me! ### 4. Exceptionally end-user-friendly **Rating:** 5.0/5.0 stars **Reviewed by:** Verified User in Venture Capital & Private Equity | Mid-Market (51-1000 emp.) **Reviewed Date:** October 22, 2025 **What do you like best about Comply?** 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. **What do you dislike about Comply?** 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. **What problems is Comply solving and how is that benefiting you?** We use Comply to administer our Code of Ethics. Without Comply (or a similar platform), we would have a huge administrative burden. ### 5. Comply Makes Compliance Training Quick, Clear, and Easy to Stay On Track **Rating:** 5.0/5.0 stars **Reviewed by:** Verified User in Insurance | Small-Business (50 or fewer emp.) **Reviewed Date:** April 07, 2026 **What do you like best about Comply?** Comply is easy to use and helps keep me on track with required compliance courses and related actions. The courses are straightforward, quick to work through, and easy to understand and complete. **What do you dislike about Comply?** I don’t really have any pain points when using Comply. **What problems is Comply solving and how is that benefiting you?** Staying on track with compliance training and related tasks is imperative, and Comply makes it effortless. ### 6. A great resource to monitor outside accounts of employees. **Rating:** 4.5/5.0 stars **Reviewed by:** Verified User in Financial Services | Mid-Market (51-1000 emp.) **Reviewed Date:** August 26, 2025 **What do you like best about Comply?** 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. **What do you dislike about Comply?** 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. **What problems is Comply solving and how is that benefiting you?** Comply allows me to be compliant with FINRA rule 3210 in monitoring accounts of employees located outside the firm. ### 7. Solid team, solid platform **Rating:** 5.0/5.0 stars **Reviewed by:** Verified User in Investment Management | Small-Business (50 or fewer emp.) **Reviewed Date:** August 19, 2025 **What do you like best about Comply?** 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. **What do you dislike about Comply?** 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. **What problems is Comply solving and how is that benefiting you?** Making RIA compliance easy to administer and easy for employees to use. ### 8. Great Help Call Center, but Recent Profile Changes Make Account Access Harder **Rating:** 3.0/5.0 stars **Reviewed by:** Verified User in Financial Services | Mid-Market (51-1000 emp.) **Reviewed Date:** January 16, 2026 **What do you like best about Comply?** The Help call center people. They are good **What do you dislike about Comply?** Recent changes especially being unable to access accounts on User profiles/details. Now I must go to Data Records > Accounts. **What problems is Comply solving and how is that benefiting you?** Advisers Act Code of Ethics and compliance program reporting. ### 9. Compliance Operations Associate **Rating:** 5.0/5.0 stars **Reviewed by:** Rachel J. | Compliance Operations Admin, Small-Business (50 or fewer emp.) **Reviewed Date:** October 21, 2025 **What do you like best about Comply?** 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. **What do you dislike about Comply?** So far, we have not encountered any drawbacks while using Comply. **What problems is Comply solving and how is that benefiting you?** We monitor and review our employees' broker statements, comparing them against our restricted list to make sure that no one is engaging in insider trading. ### 10. Easy to Use, Intuitive, and Fast **Rating:** 4.0/5.0 stars **Reviewed by:** Verified User in Information Technology and Services | Small-Business (50 or fewer emp.) **Reviewed Date:** March 19, 2026 **What do you like best about Comply?** Ease of use, intuitive, ease of implementation and client service **What do you dislike about Comply?** Performance is sometimes slow, could use some additional features **What problems is Comply solving and how is that benefiting you?** Being compliant with our industry regulations ### 11. Seamless User Experience, But Reporting Needs Improvement **Rating:** 4.5/5.0 stars **Reviewed by:** Verified User in Investment Management | Mid-Market (51-1000 emp.) **Reviewed Date:** October 28, 2025 **What do you like best about Comply?** From the user's perspective, the system operates seamlessly, and our employees are very pleased with it. **What do you dislike about Comply?** The data management reporting could really use an overhaul. It's currently difficult to generate a clean report without running into various challenges. **What problems is Comply solving and how is that benefiting you?** ComplySci has been beneficial in managing the broker feed. The platform offers a solid selection of approved brokers, which makes it easier for us to receive employees' personal trading transactions promptly. Additionally, there have been significant improvements on the MDE side, giving us greater confidence that we are identifying missing trade transactions more quickly. ### 12. Review **Rating:** 5.0/5.0 stars **Reviewed by:** Verified User in Financial Services | Mid-Market (51-1000 emp.) **Reviewed Date:** August 21, 2025 **What do you like best about Comply?** Responsiveness, useful feature rollouts. **What do you dislike about Comply?** N/A - Nothing to report in this review.. **What problems is Comply solving and how is that benefiting you?** Comply has done a great job of rolling out new features directly helpful to our firm: This includes the digital asset trade monitoring solution and restricted list API. In addition, the Comply support team is always extremely helpful an dresponsive. ### 13. Great Staff and Guidance, But Need More Hands-On Help **Rating:** 4.5/5.0 stars **Reviewed by:** Ezra K. | Chief Compliance Officer, Mid-Market (51-1000 emp.) **Reviewed Date:** October 15, 2025 **What do you like best about Comply?** Great staff! Knowledgeable and accessible. **What do you dislike about Comply?** Sometimes I need more actual help rather than guidance. I could use a little more help with execution. **What problems is Comply solving and how is that benefiting you?** Consulting. ### 14. Not entirely impressed **Rating:** 0.5/5.0 stars **Reviewed by:** Verified User in Investment Management | Small-Business (50 or fewer emp.) **Reviewed Date:** July 17, 2025 **What do you like best about Comply?** Using Comply/RIA in a box I was able to access template policy and procedure documents I might need for my business. **What do you dislike about Comply?** They don't provide specific or direct advice on contracts or written policy and procedures. They FORCE renewal at a higher rate without first notifying of the price increase or allowing an oportunity to cancel/not renew. They say the contract requires 90 day prior notice and say it is up to US to keep track of the 90 days. **What problems is Comply solving and how is that benefiting you?** In theory comply/ria in a box was providing broad regulatory compliance support. Helping to maintain compliance with current regulator requirements ### 15. RIA Compliance **Rating:** 4.5/5.0 stars **Reviewed by:** Verified User in Financial Services **Reviewed Date:** September 01, 2025 **What do you like best about Comply?** Very helpful instruction. Easy to follow steps. All outstanding compliance in one section. **What do you dislike about Comply?** We don’t see any at this time. Customer service is available if there any problems **What problems is Comply solving and how is that benefiting you?** All back required compliance with regulatory annual filings. ### 16. LeapXpert ~ Comply relationship **Rating:** 4.0/5.0 stars **Reviewed by:** Verified User in Capital Markets | Mid-Market (51-1000 emp.) **Reviewed Date:** October 15, 2025 **What do you like best about Comply?** We are a partner and I’m excited to work more closely with the archiving and surveillance teams. **What do you dislike about Comply?** No issues at this point as we are just kicking off our relationship with comply **What problems is Comply solving and how is that benefiting you?** Comply will provide the archiving and e-surveillance for clients and our platform will enable the capture of off-channel communications ### 17. Great for Compliance Management, But Needs AI Integration **Rating:** 4.0/5.0 stars **Reviewed by:** Verified User in Computer & Network Security | Small-Business (50 or fewer emp.) **Reviewed Date:** October 14, 2025 **What do you like best about Comply?** Easy to use, makes compliance simpler. A technological solution for consumers compliance management and risk management **What do you dislike about Comply?** Should have AI incorporated into the solution **What problems is Comply solving and how is that benefiting you?** It helps us strategies ahead, manage our financial risk in a clear, compliant way ### 18. Must merge to One Website for All Things. This is super annoying **Rating:** 1.0/5.0 stars **Reviewed by:** Verified User in Investment Management **Reviewed Date:** September 02, 2025 **What do you like best about Comply?** Great Support from Kelly, our Compliance rep **What do you dislike about Comply?** Two different websites is so stupid. Must merge, soon, please. **What problems is Comply solving and how is that benefiting you?** RIA Compliance support **Official Response from Caroline McCauley:** > We appreciate you taking the time to leave your feedback and want to thank you for being a valued customer. We have many innovations coming through the end of the year that could address your specific pain points. Read more about our upcoming Employee360 solution. ### 19. User-Friendly Modules Make a Positive Impact **Rating:** 3.5/5.0 stars **Reviewed by:** Verified User in Financial Services | Small-Business (50 or fewer emp.) **Reviewed Date:** October 16, 2025 **What do you like best about Comply?** The modules are user friendly and make my life easier **What do you dislike about Comply?** The help resources are sometimes not very helpful which is frustrating **What problems is Comply solving and how is that benefiting you?** Using the program management system helps keep my testing tasks organized ### 20. Expensive for a small operation **Rating:** 2.5/5.0 stars **Reviewed by:** Verified User in Financial Services **Reviewed Date:** July 31, 2025 **What do you like best about Comply?** Keeps track of deadlines for various functions with reminders **What do you dislike about Comply?** Required CPE courses for NJ are poor with training person reading to me at a slow pace. Boring **What problems is Comply solving and how is that benefiting you?** jus keeping tracking of deadlines for compliance ### 21. Easy to Navigate and Use **Rating:** 5.0/5.0 stars **Reviewed by:** Verified User in Financial Services | Mid-Market (51-1000 emp.) **Reviewed Date:** August 04, 2025 **What do you like best about Comply?** Easy to submit items for review and complete training. **What do you dislike about Comply?** It's great! No issues have ever come up. **What problems is Comply solving and how is that benefiting you?** Required compliance requirements and tracking. ### 22. Pretty Interface but Sadly No Support **Rating:** 3.0/5.0 stars **Reviewed by:** Erin B. | Finance Manager **Reviewed Date:** February 10, 2021 **What do you like best about Comply?** Parts of it are easy to understand and there are not a lot of technical glitches. **What do you dislike about Comply?** The administrator is responsible for setting up the broker feeds for each person's account. This makes the setup extremely tedious because you have to work with each bank. It's hard to see, on the company side, all of one person's certifications. You have to basically go into an emulate view as if you're the employee to see that. Customer service is nearly non-existent. All they provide is an email address which I've yet to receive a response from (it's been over a week since my first inquiry and still haven't heard anything). **What problems is Comply solving and how is that benefiting you?** We needed a compliance software and this is what we chose. ### 23. Office Manager **Rating:** 5.0/5.0 stars **Reviewed by:** Verified User in Financial Services | Small-Business (50 or fewer emp.) **Reviewed Date:** October 05, 2021 **What do you like best about Comply?** It's a user-friendly site and I get a response immediately if I have a question. **What do you dislike about Comply?** nothing at the moment. I think there have been lots of improvements over the last 3 yrs. **What problems is Comply solving and how is that benefiting you?** No problems at this point. ## Comply Discussions - [How do you use Complysci?](https://www.g2.com/discussions/how-do-you-use-complysci) - [Who owns ComplySci?](https://www.g2.com/discussions/who-owns-complysci) - [How much does ComplySci cost?](https://www.g2.com/discussions/how-much-does-complysci-cost) - [View Comply pricing details and edition comparison](https://www.g2.com/products/comply-comply/reviews?section=pricing&secure%5Bexpires_at%5D=2026-05-14+16%3A07%3A52+-0500&secure%5Bsession_id%5D=f85fc787-e1be-4643-8e99-4007117b2cae&secure%5Btoken%5D=6c7286ff6ea47564198fce109a98d6ba6881079bdb60a7751f3014678cd47cda&format=llm_user) ## Comply Integrations - [Redtail Technology](https://www.g2.com/products/redtail-technology/reviews) - [Workday HCM](https://www.g2.com/products/workday-hcm/reviews) ## Comply Features **Platform Data** - Visualization **Functionality** - Email Storage - Encryption - Reporting - Email Analysis - Migration - Archive Backup **Generative AI** - AI Text Generation - AI Text Summarization **Content** - Automation **Platform Interoperability** - Pre-Built Connectors **Agentic AI - Regulatory Change Management** - Autonomous Task Execution - Multi-step Planning - Cross-system Integration - Natural Language Interaction - Proactive Assistance **Agentic AI - Email Archiving** - Autonomous Task Execution - Multi-step Planning - Cross-system Integration - Proactive Assistance - Decision Making **Platform Additional Functionality** - Dashboard - Multi-Factor Analysis - Cloud **Platform Basics** - Reporting **Platform Additional Functionality** - Pre-Built Connectors - Dashboard - Cloud - Mobility - Messaging **Platform Reporting and Analytics** - Reporting - Forecasting **Customer Support** - Case Management - Customer Support Portal - Knowledge Base - Support Analytics **Agentic AI - Financial Risk Management** - Natural Language Interaction **Marketing Automation** - Campaign Management - Lead Management - Marketing Analytics **Sales Force Automation** - Pipeline Management - Task Management - Product and Price List Management - Quote and Order Management - Contract Management **Agentic AI - Financial Services CRM** - Decision Making ## Top Comply Alternatives - [Optro](https://www.g2.com/products/optro/reviews) - 4.6/5.0 (1,584 reviews) - [Maximizer](https://www.g2.com/products/maximizer/reviews) - 4.0/5.0 (643 reviews) - [Paubox](https://www.g2.com/products/paubox/reviews) - 4.9/5.0 (549 reviews)