SHARPEST TOOLS IN THE SHED

Whether you're building a new firm, reinforcing compliance resources, or repairing compliance deficiencies, Compliers' experienced CCOs and compliance professionals are trusted partners, with the right tools and resources for your Broker-Dealer or Advisory firm.

Consulting,

Staffing,

PRACTICE AREAS

Opening the books...

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AI-Powered End to End Solutions
Our tailored solutions utilize advanced AI tools backed by a propriety rule system built by compliance professionals to ensure firm meets regulatory requirements from onboarding and training to email and outside account review. All powered by in-house tenured compliance professionals.

Marketing and Communications Review: Deploying a proprietary rule-based system where marketing materials can be uploaded leveraging AI rules to support your direct line supervisors significantly reduces time spent on reviews while providing firm wide reporting.

Email Review:

Efficient and automated review of email communications to ensure regulatory compliance. Save up to 90% of supervisory review time removing the noise to focus on what is important.

Outside Investment Accounts:

API driven system automates the data collection process, removing the administrative burden while leveraging customizable search and screening rules to allow supervisors to focus on what is important reducing time required to complete reviews and increasing efficiency and focus.

Code of Ethics Management: Streamlined ethics oversight and reporting integrated into the review of email, marketing and associated person trading accounts, both inside and outside of your firm.

OUR VISION

MISSION

ABOUT US

At Compliers, we revolutionize compliance by merging cutting-edge technology with unparalleled industry expertise. Our mission is to empower financial institutions with innovative solutions that simplify and streamline their compliance processes, ensuring they stay ahead of regulatory requirements and focus on what they do best.

MISSION

Founded with a vision to create a seamless compliance experience, Compliers brings together a team of industry veterans and tech innovators. Our unique approach blends regulatory compliance with precision and adaptability, reflecting our commitment to providing tailored solutions that meet the specific needs of our clients.

VALUES

Our core values are a commitment to empowering our team, adding value for our clients and supporting invocation and growth amongst our strategic partners.