Complect was founded in 2018 as a marketplace platform connecting financial services firms with compliance specialists on demand. While we saw an early interest for access to affordable compliance expertise, we realized that just providing compliance expertise lulled investment advisers into a false sense of security that they never needed to oversee or be involved in the compliance program.
In reality, compliance is operations, thus it is essential that no matter whether investment advisers self-manage their compliance program, outsource some functions, or fully outsource it to an expert, they should still maintain oversight of their compliance program and control how it evolves with their business needs.
Our mission is to change the ethos of compliance from an afterthought to being embedded in an adviser's day to day operations. We developed a compliance program management dashboard that provides one, integrated access point to seamlessly manage the core components of a compliance program. And, in doing so, make compliance easier on RIAs thus providing greater security and stability to investors and the financial markets.