COMPLY

COMPLY Unveils 2025 Roadmap: Future-Proofing Compliance with Next-Generation Innovation

Core Infrastructure Enhancements and New Innovations Ensure Financial Services Firms Stay Ahead of Regulatory Change and Uncertainty

NEW YORK, Feb. 11, 2025 (GLOBE NEWSWIRE) -- COMPLY, the premier regulatory compliance software and solutions provider for global financial services firms, today announced its 2025 Innovation Roadmap, focused on advancing its OneCOMPLY™ vision to deliver a 360-degree view of an organization’s regulatory compliance processes while reinforcing its commitment to helping clients future-proof their compliance programs.

At the heart of this innovation is Employee360™, a first-of-its-kind compliance dashboard that provides Chief Compliance Officers (CCOs) with a single, comprehensive view of employee activity, risk, and regulatory obligations. Together with COMPLY’s strategic investments in AI, data management, and core infrastructure, Employee360 will transform compliance by integrating firm-wide oversight with individual accountability, empowering firms to automate, streamline, and proactively manage risk.

“Compliance is not about checking boxes, it’s about creating a proactive, scalable strategy that keeps firms ahead of regulatory risk,” said Michael Stanton, CEO of COMPLY. “Over the next year, our investments in AI, automation, and infrastructure, combined with Employee360 and ongoing SMCR enhancements, will empower global compliance teams with real-time insights, seamless automation, and predictive risk management. With COMPLY, our clients can focus on growing their businesses with confidence, knowing they have a future-ready compliance solution and partner at their side.”

Enhancing Core Infrastructure for Scalable, Future-Ready Compliance
To help firms automate compliance processes, scale seamlessly, and integrate future innovations, COMPLY is making significant investments in modernizing its data architecture and core infrastructure, which will be released over the next several months. These foundational enhancements will ensure long-term scalability, resilience, and regulatory agility and enable faster innovations and greater efficiency across compliance programs.

• Modern Broker Feed Platform: Firms depend on broker feeds to monitor, analyze, and reconcile trades across diverse markets. However, outdated legacy systems have rendered this process inefficient and prone to errors. To address this issue, COMPLY has announced plans to modernize its data architecture in Q1. This will involve implementing a cloud-native data gateway that simplifies broker feed onboarding and maintenance, enabling clients to achieve best-in-class automation rates. This new data management architecture will also provide a no-code setup, allowing compliance teams to configure and update feeds with minimal IT intervention.
  
• Next-Gen Security Master: COMPLY has announced that it will also modernize and expand its securities data capabilities to deliver near real-time pricing for stocks, bonds, options, and mutual funds, enhancing trade monitoring and compliance reporting. Initial security master enhancements are expected to be delivered in Q2. Future updates include broader coverage for fixed-income and non-exchange-listed instruments.
• Integrating Political Contributions Monitoring: COMPLY is currently modernizing its political contributions monitoring platform, previously known as illumis, which houses the most comprehensive U.S. database of local, state, and federal political contributions. Near-term enhancements, expected to be delivered mid-year, are focused on optimizing and automating data collection and delivery technologies, along with improved reporting capabilities. By the end of this year, this solution will be natively integrated into the OneCOMPLY™ platform, providing a centralized view of employee trades and political contributions. Additional features for automated contribution verifications and alerts for undisclosed contributions are also planned.
• Expanding Compliance Ecosystem Integrations: COMPLY will continue to enhance its platform by integrating additional compliance tools, including COMPLY Program Management for Broker-Dealers (Q2) and RepTracker for broker-dealer licensing and tracking (Q4), to help firms centralize firm-wide compliance requirements.

In addition to increasing performance and maximizing uptime, these core data architecture investments and integrations will allow COMPLY clients to access and consume future innovations faster and more efficiently.

Connecting Employee Compliance to Firm-Wide Risk Management
Today, firms are using a variety of systems and spreadsheets to reconcile compliance processes, resulting in inefficiencies, silos, and increased regulatory exposure. COMPLY’s 2025 Innovation Roadmap and investments are focused on eliminating these fragmented workflows and ensuring compliance teams can orchestrate, report, and protect firms and investors from regulatory scrutiny, risk, and enforcement actions.

By integrating Employee360 across all compliance workflows, COMPLY is creating a single, cohesive system that connects employee-level risk to firm-wide compliance management. Bridging this gap eliminates inefficiencies, reduces risk, and enhances regulatory preparedness.

• Automated Firm-Wide Compliance Controls (Q1): Employee compliance data linked directly to:
  • Annual risk assessments and regulatory reporting
  • Firm-wide trade surveillance and policy enforcement
  • Audit preparation and regulatory response workflows
• eComms and Archiving: Secure, WORM-Compliant Storage (Q2-Q4)
  With the SEC cracking down on record-keeping violations, firms need comprehensive electronic communications archiving. COMPLY’s next-gen eComms and Archiving ensures:
  • Automated capture of all client-facing communications, including email, social media, WhatsApp, iMessage, SMS, and more
  • Tamper-proof and SEC-compliant WORM (Write Once, Read Many) storage
  • AI-driven anomaly detection to flag potential compliance violations in communications before audits

• Real-Time Employee Risk Dashboard (Q3): CCOs can instantly access data on individual employees, including:
  • Unmatched trades, trade rule violations, trade frequency, overdue certifications, code of ethics violations, and resolutions
  • Conflicts of interest, outside business activities, and gifts and entertainment
  • Licenses, certifications, and regulatory training completion
  • Tagging to identify new joiners, high-volume traders, high-risk individuals, VIPs, and more across departments
• AI-Powered Intelligence (Q3):
  COMPLY is transforming compliance with AI-powered automation, seamlessly connecting compliance data across multiple sources. AI-driven capabilities streamline regulatory task management, real-time insights, and employee support, allowing firms to stay ahead of shifting regulations. Key 2025 innovations include:
  • Automated compliance calendars and rule-based workflows, Natural Language Querying (NLQ) for instant data insights, and AI-powered assistants that answer employee policy questions in real-time – reducing the burden on CCOs
  • Predictive analytics identify risk patterns before they escalate, enabling firms to address compliance gaps proactively
    

“With Employee360 and our core infrastructure advancements, we’re not just keeping pace with compliance technology, we’re setting the standard for what firms should expect from a regulatory compliance partner,” said David Bliss, Chief Product Officer at COMPLY. “Our investments in AI, automation, and data architecture ensure compliance leaders can work smarter, reduce manual effort, and stay ahead of regulatory shifts before they become a burden.”

This unified approach ensures that compliance teams can proactively manage risk, detect issues before they escalate, and maintain continuous regulatory readiness.

About COMPLY
COMPLY empowers financial services firms to build strong, proactive compliance cultures that go beyond regulatory checklists — helping them reduce fines, protect their reputations, retain top talent, and drive business growth. As the leading provider of regulatory compliance technology and consulting expertise, COMPLY supports 5,600+ clients, including investment banks, private equity firms, hedge funds, broker-dealers, and RIAs.

By delivering a 360-degree view of compliance across both firm and employee obligations and expert consulting — all from one partner, COMPLY empowers Chief Compliance Officers (CCOs) and their teams with the tools and insights they need to manage risk holistically. With cutting-edge technology, expert advisory services, and a future-ready compliance platform, COMPLY enables firms to navigate complex regulations with confidence while maintaining long-term resilience, operational excellence, and sustainable growth.

Learn more at www.comply.com.

Contact:

Brianna Fredriksen

302-593-5404

bfredriksen@comply.com

A photo accompanying this announcement is available at https://www.globenewswire.com/NewsRoom/AttachmentNg/7de69b96-6539-400d-944c-c99c6710977d