ComplyAI
by Comply · Regulatory reporting and risk · New York, United States
Agentic AI tools for compliance tasks
What ComplyAI does
- Natural language reporting
- AI Governance Task Library
- AI Risk Assessment & Policy Templates
- Full audit log recorded for every submission
- Firm-configured rules and restricted lists applied automatically
What ComplyAI is used for
- Submit and decide trade preclearance requests
- Answer employee policy questions from approved policies
- Generate compliance calendar tasks from policies
- Document AI governance oversight and testing activities
- Send daily compliance summaries of open requests and gaps
About Comply
Compliance software and consulting for investment advisers, private funds and broker-dealers.
Comply in the vendor registry: its products, features and similar vendors.
Also by Comply
- Comply Platform: Employee compliance: trade monitoring, code of ethics, conflicts (formerly ComplySci)
- Comply for RIA: Compliance program software for RIAs (formerly RIA in a Box)
- ComplianceGuardian: Compliance management for advisers (formerly NRS)
- illumis: Political contribution monitoring for pay-to-play rules
More in this category: Regulatory reporting and risk management software.
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