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ComplyAdvantage Platform from ComplyAdvantage

Real-time risk data and automated monitoring tools for AML, KYC, and sanction screening, enabling firms to stay compliant with evolving regulations.

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Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

Platforms that track changing regulations, automate compliance workflows, manage required disclosures, and ensure advisors meet regulatory obligations from bodies like the SEC, FINRA, and state regulators.
More Regulatory Compliance Systems More Compliance and Risk Management ...

Regulatory Coverage
(8 Yes /8 Known /11 Possible features)

Workflow Automation
(8 Yes /8 Known /11 Possible features)

Disclosure and Documentation Management
(7 Yes /7 Known /11 Possible features)

Compliance Monitoring
(8 Yes /8 Known /11 Possible features)

Audit and Reporting
(9 Yes /9 Known /11 Possible features)

Integration and Interoperability
(9 Yes /9 Known /11 Possible features)

User Access and Permissions
(10 Yes /10 Known /11 Possible features)

Data Security and Privacy
(9 Yes /9 Known /11 Possible features)

User Experience and Adoption
(9 Yes /9 Known /11 Possible features)

Risk Assessment and Management
(8 Yes /8 Known /11 Possible features)

Support and Vendor Reliability
(8 Yes /8 Known /11 Possible features)

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Jurisdictional Support Ability to support regulations across multiple US states and federal bodies.		No information available
International Regulation Support Support for non-US regulations and cross-border compliance.		ComplyAdvantage provides support for international regulations and cross-border AML/KYC screening; global regulatory coverage is highlighted in marketing materials.
Real-Time Regulatory Updates The system provides real-time updates when regulations change.		Platform advertises real-time regulatory and watchlist data feeds, suggesting real-time update capabilities.
Custom Rule Mapping Ability to create or modify mappings to custom company-specific compliance policies.		Ability to configure custom rule policies is supported within AML/KYC workflow, per product literature.
Regulation Database Size Number of distinct regulatory statutes/rules tracked.		No information available
Automated Interpretation Engine Uses AI/NLP to summarize and interpret new regulatory text.		The platform uses AI/NLP for information extraction and risk interpretation, per product notes.
Rule Version Tracking Tracks historical versions of regulations for comparison and audit.		Regulatory change management with version tracking is cited in compliance workflow material.
Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation.		Platform detects potential regulatory exceptions in screening scenarios. Exception handling capabilities referenced in documentation.
Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations.		Platform maintains activity/audit logs, including regulatory data updates.
Regulatory Library Export Capability Ability to export all regulatory content for offline analysis.		No information available
Integration with Legal Resources Embeds or links to official legal interpretations or legal counsel resources.		Integration with legal and sanction resources is included for alert resolution context.

Automated Disclosure Generation Automatically generates required client disclosures according to regulatory guidelines.		No information available
Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items.		Platform supports case management with approval workflows and structured escalation.
Task Assignment Automation Automatically assigns compliance tasks to relevant parties based on roles, locations, or other rules.		Case management task assignment features are highlighted in workflow documentation.
Workflow Customization Ability to design and modify custom compliance workflows.		Customizable workflows available; configuration options outlined in support content.
Escalation Triggers Automatically escalates issues or breaches to compliance officers and key stakeholders.		Case escalation triggers supported; users can automate alerts/escalation to compliance officers.
Compliance Calendar Management Tracks and automates key dates and deadlines for compliance actions.		Platform includes compliance calendars to manage due dates for screening and ongoing diligence.
Automated Notifications System sends alerts and reminders for upcoming or overdue compliance actions.		Automatic notification and alerting is a core feature for risk and compliance events.
Workflow Integration APIs APIs for integration with other workflow or case management platforms.		APIs enable integration of ComplyAdvantage workflow with external case management systems.
Bulk Action Processing System can process compliance workflows for multiple clients simultaneously.		No information available
Workflow Audit Logging All automated actions and manual interventions are logged for later review.		Actions taken on cases and workflow are logged for audit purposes.
Simultaneous Workflow Capacity Number of compliance workflows the system can handle at once.		No information available

Template Library Comes with templates for standard regulatory disclosures and forms.		No information available
Automated Document Delivery System automatically delivers disclosures and forms to clients and tracks receipt.		Documented automated delivery of alerts and reporting to clients and users.
E-signature Integration Integrated support for e-signatures on compliance documents.		No information available
Version Control for Documents Tracks historical versions and updates to compliance documentation.		Platform supports change tracking and audit for risk/compliance documents.
Secure Storage of Documents All disclosures and supporting documents are stored securely and encrypted.		Data encryption and secure storage is an advertised security feature.
Document Retention Policy Automation Automatically enforces document retention and deletion policies per regulation.		No information available
Client Portal Access Clients can view/download compliance disclosures via secure web portal.		Customer portal is included for client disclosure review and self-service.
Document Searchability Full-text search across all disclosures and compliance documentation.		Advanced search across alerts, cases and regulatory documents.
Bulk Document Processing Ability to generate or process documents in bulk for multiple clients.		No information available
Automated Acknowledgement Tracking Automatically tracks client acknowledgement of received disclosures.		Tracks acknowledgement/closure of compliance alerts per client, shown in reporting.
Document Sharing Controls Granular controls over who can view, download, or share compliance documents.		Granular controls over permissions and document access/sharing available in settings.

Real-Time Activity Monitoring Monitors advisor and client activity for compliance in real time.		Platform provides real-time monitoring of screening and user actions.
Automated Alerting System sends alerts when compliance thresholds are approached or breached.		Automated real-time alerts for threshold breaches and AML risk events.
Policy Breach Detection Rate Percentage of potential compliance breaches detected automatically.		No information available
Customizable Monitoring Rules Users can define and adjust their own sets of monitoring rules.		Users can define monitoring and alerting rules for risk detection.
Risk Scoring System assigns risk scores to clients, advisors, or events based on compliance data.		Platform outputs risk scores for entities and alerts based on compliance patterns.
False Positive Rate Rate of incorrect compliance alerts (false alarms).		No information available
Historical Data Analysis Can analyze and report on past data for compliance trends.		Historical data and trend analysis is part of case/risk management reporting.
Automated Suspicious Activity Report (SAR) Generation Automatically generates regulatory reports on potentially suspicious activities.		Suspicious activity (SAR/STR) reporting is supported with automatic draft generation.
Time to Alert Resolution Average time from alert generation to issue resolution.		No information available
Continuous Learning Utilizes machine learning to improve detection accuracy over time.		Machine learning used for dynamic improvement of detection and false positive rates.
Role-Based Dashboard Views Custom dashboards based on user roles to review ongoing compliance status.		Role-based dashboards with custom metrics by user role present in platform.

Comprehensive Audit Trail Logs all system changes, user actions, and compliance events.		Comprehensive system audit trail is an advertised compliance feature.
Regulatory Exam Preparation Tools Assists with aggregation and export of reports for regulator examinations.		Export/report assembly tools for regulatory exams included in compliance workflow.
Custom Report Builder Users can build custom compliance and risk reports.		Custom report builder is available for compliance management and audit modules.
Pre-Built Regulatory Report Library Comes with templates for common regulatory audits (e.g., SEC Form ADV, FINRA 8210).		Library of pre-built AML, KYC, and regulatory reports for common compliance standards.
On-Demand Report Generation Reports can be generated at any time, not just on a schedule.		Reports are available for download on demand in compliance modules.
Scheduled Report Delivery Reports can be scheduled for automated delivery to stakeholders.		Scheduled recurring delivery of compliance reporting supported in workflow automation.
Audit Data Retention Audit logs are retained for a customizable period per regulation.		Audit data retention period can be configured in platform settings.
Regulatory Data Export Formats Support for exporting reports in commonly accepted regulator formats (e.g. XML, CSV, PDF).		Export formats supported: CSV, PDF, XML, among others per documentation.
Report Annotation Users can annotate and comment on reports within the system.		No information available
Automated Report Distribution List Management Manages report distribution lists and ensures correct stakeholders receive regulatory reports.		No information available
Custom Metrics and KPIs Ability to define and track custom compliance or audit metrics.		Ability to track and display custom compliance metrics and KPIs in dashboards/reports.

CRM Integration Integrates with Advisor CRM platforms to pull relevant client/advisor data.		Platform supports integration with CRMs for risk and compliance use cases.
Document Management System Integration Supports integration with enterprise DMS like SharePoint or Box.		Integration supported for enterprise DMS platforms including SharePoint/Box, per integration documentation.
API Availability Provides a documented API for integration with other fintech systems.		Extensive API documentation and integration endpoints available.
Data Import/Export Tools Tools for importing and exporting compliance-relevant data.		Platform enables import/export of compliance and screening data using provided tools.
Single Sign-On (SSO) Supports SSO with enterprise identity platforms.		Single sign-on (SSO) support listed in enterprise security features.
RegTech Vendor Marketplace Integration Connects with external RegTech data feeds and vendors.		Connects to external data feeds for PEP, sanctions, and adverse media from global RegTech vendors.
Integration Documentation Quality Rated quality of API and integration documentation.		No information available
Integration Turnaround Time Time required to set up integrations with most common systems.		No information available
Historical Data Synchronization System can synchronize and ingest historical data from external sources.		Platform can synchronize and ingest historical data from external CRM and DMS systems.
Event-Driven Integration Supports event-driven triggers and actions from/to external systems.		Event-driven webhooks and API available for integration; actions/events can stream to external systems.
Batch vs. Real-time Sync Modes Supports both scheduled batch syncs and real-time data synchronization.		Batch and real-time data feeds are both available for customer monitoring lists and workflow.

Granular Role-Based Permissions Enables detailed access control based on defined roles and responsibilities.		Granular permissions and role assignment features present in user controls.
Multi-Level Approval Hierarchies Supports layered approval structures in compliance workflows.		Multi-level approval and reviewer assignments available in case management workflows.
User Access Audit Logging Logs all user access and permission changes for security review.		Audit trails are maintained for all user permission changes.
Time-Based Access Controls Enables temporary, expiring access for audits or special cases.		No information available
Third Party Vendor Access Management Restricts and audits access for external users/vendors.		Third party and external vendor access controls are documented and can be audited.
User Profile Bulk Management Tools Bulk onboard, modify, or offboard user permissions.		Bulk management of user access profiles is available through admin interfaces.
MFA (Multi-Factor Authentication) Support Supports multi-factor authentication for additional security.		Multi-factor authentication supported for user logins.
Data Access Segmentation Restricts access to sensitive records based on user segments (e.g. office, branch, team, region).		Data access is restricted by defined business unit, geography and user profile.
Delegated Administration Allows select users to manage user access in their department/unit.		Delegation of administration is supported for business unit leads.
Session Timeout Controls Automatically logs out inactive users after set periods.		Session timeout controls configurable for automatic logoff.
Permission Change Alerting System sends alerts for sensitive permission changes.		Permission change alerting is supported to monitor elevated access.

Data Encryption At Rest Encrypts all stored data to prevent unauthorized access.		Data at rest is securely encrypted according to advertised security standards.
Data Encryption In Transit Encrypts all data transmitted between system components.		Encryption in transit (TLS/SSL) is an industry-required security feature, confirmed in documentation.
Audit Logging for Data Access Tracks all access, changes, and exports of sensitive records.		All data/file access and export actions are audit logged.
Anonymization/Redaction Capabilities Can redact or anonymize client and advisor data where appropriate.		Options for redaction/anonymization are provided in compliance with GDPR, CCPA.
GDPR/CCPA Compliance Features Features to support GDPR, CCPA, or other privacy regulations.		GDPR/CCPA privacy compliance features and controls are present per compliance certification.
Data Breach Alerting Automated alerts and response playbooks for data security incidents.		Automated incident/data breach alerts available in enterprise response module.
Security Certifications Held Indicates the number or types of security certifications (e.g., SOC 2, ISO 27001) held.		No information available
Client Data Portability Tools Facilitates secure export or transfer of client records per privacy requests.		Client data can be exported on request in common formats to support data portability obligations.
Data Destruction Verification Automated logs and confirmations for deleted data when required.		Data deletion and retention logs are maintained for compliance.
Encrypted Backup Management All backups are encrypted and access-controlled.		Backups are encrypted and subject to access controls, according to platform technical documentation.
System Penetration Test Frequency Number of penetration tests conducted per year.		No information available

Intuitive User Interface Modern, user-friendly UI designed for easy navigation.		User interface is highly rated in industry reviews for clarity and usability.
Customizable Dashboards Users can configure dashboards to view most relevant compliance metrics.		Dashboards can be customized by user or organizational role, as illustrated in UI samples.
Mobile Access or App Mobile-optimized web or native app for on-the-go compliance access.		Mobile-optimized web experience and API documented for mobile device compatibility.
Role-Based Training Modules Tailored training materials and guided onboarding for each user role.		No information available
In-Application Support Chat Live or AI-based support chat built into application UI.		No information available
Contextual Help and Tooltips Integrated help widgets, guides, and field-level tooltips.		Product includes contextual help, guides, and interactive tooltips throughout the user interface.
Adoption Analytics Metrics on feature adoption rates and user engagement.		User engagement and adoption analytics are available on product usage dashboards.
Customizable Branding Platform can be branded with a firm's identity (logos, colors).		Firm-specific branding colors and logo can be uploaded in admin interface.
Accessibility Features Meets major accessibility standards (e.g., WCAG 2.1).		Platform meets WCAG accessibility requirements and is periodically tested for compliance.
Feedback Collection in-App Users can submit improvement suggestions and issue reports directly within app.		Users can submit feedback, request features, or report issues through in-app feedback forms.
Client-Facing User Experience Easy-to-understand client portals for disclosure or audit interactions.		Client portal emphasizes clear, usable interfaces for third parties and clients.

Automated Risk Profiling Automatically assesses compliance risk based on activity patterns.		Automated risk profiling is present in transaction monitoring and onboarding risk assessment.
Customizable Risk Scoring Models Allows firms to tailor risk scoring and weighting to business priorities.		Risk scoring models are configurable by business; users can adjust weights, factors.
Risk Heatmaps Graphical representations of compliance risks across the firm.		Risk dashboards with heatmap overlays for entity and event risk are present.
Risk Mitigation Workflow Integration Direct links between risk detection and workflow for resolution.		Direct links from alerts and risk events to workflow/case manager for resolution.
Loss Event Logging Tracks previous compliance losses and exposure events with analysis.		No information available
Scenario Stress Testing Runs theoretical compliance failure scenarios to test controls.		No information available
Risk Appetite Settings Firm-level controls for setting acceptable risk thresholds.		Risk thresholds and risk acceptance locally configurable in admin settings.
KRI (Key Risk Indicator) Tracking Tracks and reports on key risk indicators for regulatory compliance.		Key risk indicator tracking is available in compliance dashboard modules.
Automated Risk Mitigation Recommendations System generates actionable recommendations for risk reduction.		Platform generates actionable risk/tuning recommendations as part of automated monitoring.
Risk Event Notification Frequency How frequently the system sends risk alerts.		No information available
Mitigation Effectiveness Tracking Monitors results of implemented risk controls or mitigations.		Mitigation actions and outcomes tracked in workflow/case audit.

24/7 Support Availability Round-the-clock technical or compliance support for critical issues.		ComplyAdvantage offers 24/7/365 support, as per support SLA info.
Dedicated Account Manager Each client is assigned an account manager for escalations.		Dedicated account management provided for enterprise contracts.
SLAs for Issue Resolution Published service-level agreements on ticket response and resolution times.		Service-level agreements for issue response and resolution published online.
Uptime Guarantee / SLA Vendor guarantees a minimum uptime for the platform.		Vendor provides documented uptime SLA, commonly 99.9%+ exposure.
System Uptime Statistics Platform reports historical uptime performance.		No information available
In-Product Troubleshooting Tools Self-service troubleshooting and diagnostic tools available to users.		Self-service and troubleshooting diagnostic tools integrated into user portal.
Comprehensive Knowledge Base Extensive online help documentation and user guides.		Help center and user documentation are comprehensive; frequently referenced in support materials.
Client Reference Availability Vendor can provide references from similar advisory firms or past clients.		Vendor maintains strong reference list with case studies and testimonials from major clients.
Platform Roadmap Transparency Vendor publishes technology/product roadmap to clients.		ComplyAdvantage publishes quarterly product and technology roadmaps to clients.
Frequency of Feature Updates Average number of significant feature updates/releases each year.		No information available
Incident Response Time Average time to respond to significant incidents.		No information available

ComplyAdvantage Platform from ComplyAdvantage

Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

Regulatory Coverage (8 Yes /8 Known /11 Possible features)

Workflow Automation (8 Yes /8 Known /11 Possible features)

Disclosure and Documentation Management (7 Yes /7 Known /11 Possible features)

Compliance Monitoring (8 Yes /8 Known /11 Possible features)

Audit and Reporting (9 Yes /9 Known /11 Possible features)

Integration and Interoperability (9 Yes /9 Known /11 Possible features)

User Access and Permissions (10 Yes /10 Known /11 Possible features)

Data Security and Privacy (9 Yes /9 Known /11 Possible features)

User Experience and Adoption (9 Yes /9 Known /11 Possible features)

Risk Assessment and Management (8 Yes /8 Known /11 Possible features)

Support and Vendor Reliability (8 Yes /8 Known /11 Possible features)