RIA in a Box

ComplySci, founded in 2003 and based in New York City, is a prominent provider of regulatory technology (RegTech) solutions tailored for the financial services sector. The company serves over 1,400 clients globally, including investment advisers, hedge funds, broker-dealers, and private equity firms. ComplySci focuses on employee compliance risk management, offering tools to identify and mitigate conflicts of interest related to personal trading, gifts, political contributions, outside business affiliations, and code of ethics violations. The company emphasizes scalable, technology-driven solutions that streamline compliance workflows and enhance reporting accuracy. ComplySci collaborates with cybersecurity platforms to improve security assessments and reduce compliance review times. Under the leadership of CEO Amy Kadomatsu, ComplySci is committed to product innovation and strategic growth, addressing evolving regulatory demands in cybersecurity and data protection.