Employee Compliance Software
Employee Compliance Software
Regly Compliance

Employee Compliance Software for Financial Services Firms

Employee Compliance Software for Financial Services Firms

Manage forms, attestations, outside account and employee compliance tasks in a platform created by compliance officers.

Manage forms, attestations, outside account and employee compliance tasks in a platform created by compliance officers.

Assign forms and attestations with just a few clicks

Track completion and send reminders automatically

Centralize documents in a single place

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As seen on:

As seen on:

As seen on:

Features

Features to Simplify Employee Compliance

With tools designed to streamline workflows, Regly helps keep your compliance tasks organized and efficient.

Employee Trades

Outside Accounts and Personal Trading

Outside Accounts and Personal Trading

Track employee trading activity and outside financial accounts to help meet compliance requirements.

Track employee trading activity and outside financial accounts to help meet compliance requirements.

Mass Assignments

Mass Assignments

Send forms and attestations to multiple employees at once, saving time and effort.

Send forms and attestations to multiple employees at once, saving time and effort.

Compliance Form Assignments
Compliance Forms Software

Form Tracking

Form Tracking

Track form completions and identify outstanding submissions in real time.

Track form completions and identify outstanding submissions in real time.

AI Form Builder

AI Form Builder

Describe your form in plain language and Regly’s AI-assisted builder will draft a suggested template for your review.

Describe your form in plain language and Regly’s AI-assisted builder will draft a suggested template for your review.

AI Form Generator for Compliance

How It Works

Managing Employee Compliance in Four Easy Steps

Managing Employee Compliance in Four Easy Steps

See how our platform simplifies employee compliance workflows step-by-step.

See how our platform simplifies employee compliance workflows step-by-step.

Request Demo

Request Demo

Step 1

Assign Forms and Attestations

Quickly distribute compliance forms to individuals or teams with just a few clicks.

Step 1

Assign Forms and Attestations

Quickly distribute compliance forms to individuals or teams with just a few clicks.

Step 2

Track Progress in Real Time

Monitor which forms have been completed and identify outstanding tasks easily.

Step 2

Track Progress in Real Time

Monitor which forms have been completed and identify outstanding tasks easily.

Step 3

Coming Soon

Automate Reminders

Set automated reminders to follow up on incomplete submissions without manual effort.

Step 3

Coming Soon

Automate Reminders

Set automated reminders to follow up on incomplete submissions without manual effort.

Step 4

Store and Access Documents

Keep compliance documents organized and accessible for audits or reviews.

Step 4

Store and Access Documents

Keep compliance documents organized and accessible for audits or reviews.

Industries

Flexible Solutions for All Industries

No matter your industry, our tools help you stay organized and compliant.

  • Financial services

  • Fintechs

  • Crypto/Web3

  • Broker-Dealers

  • P2P market

  • E-commerce

  • Crowdfunding

  • Forex Brokers

  • Lenders

  • Investment Advisors

  • Money Transmitters

  • Financial services

  • Fintechs

  • Crypto/Web3

  • Broker-Dealers

  • P2P market

  • E-commerce

  • Crowdfunding

  • Forex Brokers

  • Lenders

  • Investment Advisors

  • Money Transmitters

  • Financial services

  • Fintechs

  • Crypto/Web3

  • Broker-Dealers

  • P2P market

  • E-commerce

  • Crowdfunding

  • Forex Brokers

  • Lenders

  • Investment Advisors

  • Money Transmitters

FAQ

Common Questions About Employee Compliance Tools

Discover more about employee compliance software and its key features.

What is employee compliance software?

Employee compliance software helps businesses manage forms, attestations, and other compliance tasks for employees, keeping everything tracked and organized.

Who should use employee compliance software?
How does employee compliance software work?
What are the benefits of employee compliance software?
What features should I look for in employee compliance software?

Schedule a Demo Today

Learn how Regly’s tools help you manage employee compliance tasks.

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