Who We Are
Compliance11, Inc., a subsidiary of The Charles Schwab Corporation, is a leading provider of cloud-based compliance automation software for brokerage firms, hedge funds, investment advisors, private equity firms, pension funds and public companies. Our highly scalable and customizable platform centralizes your disclosure, tracking, surveillance and reporting needs freeing you to manage risk, not paper. Our products include:
- Personal Trading
- Insider Trading
- Affirmations and Disclosures
- Gifts, Entertainment and Contributions
- Case Management
Easy to Use
Our user-friendly interface makes it easy for employees to meet the requirements of your compliance program while significantly reducing your administrative time and resources. Our world-class customer service team provides professional and responsive support to help make your compliance team successful.
Easy to Implement
The Compliance11 platform is built using Software-as-a-Service (SaaS) technology, which means implementing Compliance11 is like plugging in an appliance. Our secure platform, hosted in a SAS70 Type II environment, can be implemented in days with little to no IT involvement.
Always Up-to-Date
Our network of compliance professionals stays apprised of the latest regulatory requirements and proactively ensures that our products remain best-in-class.