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What is Intapp Employee Compliance?

Intapp Employee Compliance enhances the management of your firm's personnel's financial interests and external activities while ensuring that they adhere to internal ethical standards and documentation protocols. This comprehensive solution supports professionals in meeting both organizational and legal requirements, thereby simplifying the oversight responsibilities for compliance teams as they track individual actions. By providing employees with user-friendly tools, adherence to company policies becomes easier, enabling the validation of information through standardized data and the detection of any inconsistencies. The system proactively notifies employees about required actions and keeps tabs on their progress, which aids in prompt responses and approvals through streamlined workflows and alerts. Furthermore, it generates detailed histories that are instrumental for both firm management and regulatory authorities. A centralized platform allows staff to efficiently manage and request approval for regulated activities, effortlessly merging employee compliance with your existing HR and trading systems. To further boost usability, it presents role-specific, centralized data views along with versatile reporting features that can be customized to fit the specific requirements of your organization. This adaptability not only improves efficiency but also fosters a culture of compliance throughout the firm.

What is COMPLY?

COMPLY delivers a unified compliance management ecosystem tailored to the complexities of the financial services industry. It streamlines every stage of the compliance lifecycle—policy management, regulatory filings, monitoring, reporting, and audits—within a single platform. Firms benefit from an integrated environment where technology meets hands-on expertise, helping them proactively address regulatory changes and operational risks. The system’s automation capabilities reduce manual work by handling repetitive tasks such as data gathering, deadline tracking, and code of ethics administration. Customizable modules allow firms to configure workflows and reporting structures to meet their unique operational and jurisdictional needs. Managed services extend in-house capacity, enabling firms to offload routine processes to seasoned compliance professionals. Educational programs and certification courses keep teams current on compliance best practices and industry trends. Designed for scalability, COMPLY supports organizations ranging from emerging RIAs to multinational investment banks. Its cloud-based infrastructure provides secure, role-based access from anywhere, ensuring compliance continuity in all circumstances. By integrating technology, services, and thought leadership, COMPLY empowers financial institutions to operate with confidence, efficiency, and full regulatory alignment.

Media

Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

Has API

API Availability

Has API

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Company Facts

Organization Name

Intapp

Date Founded

2000

Company Location

United States

Company Website

www.intapp.com/employee-compliance/

Company Facts

Organization Name

COMPLY

Company Location

United States

Company Website

www.comply.com

Categories and Features

HR Compliance

Alerts / Notifications
Certifications Management
Communication Tools
Customizable HR Documents
Document Management
Records Management
Regulations Monitoring
Reporting / Analytics
Roles / Permissions
Version Control
Workflow Management

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

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