SmartCompliance

Enabling Compliant, Ethical & Best Practice Trading

Addressing The Compliance Challenges of Financial Services

We understand the complexities and the challenges of operating in a highly regulated sector where it is key to ensure you conduct business both ethically and in a manner that is fully compliant.

Through our interaction recording and analytics solutions, we help you to monitor, enforce and evidence compliance against key regulatory measures. This in turn means you can rest assured that customers get the right advice, and traders and advisors are given the right support to do their jobs from unnecessary burden additional burden on your traders.

Enabling Compliant, Ethical & Best Practice Trading

How do you ensure that every transaction or trade is conducted against your best practice, is ethical and compliant with FCA, GDPR and other key legislation?

We help you achieve this by capturing every part of every transaction. We record the conversations, the messages, the news and data feeds along with key transactional information.

We are then able to analyse this using key phrase and proximity matching to flag potential areas of concern, non-compliance or indicators of vulnerability. We present this in highly intuitive dashboards and can trigger both alerts and appropriate workflows.

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Managing & Securing Legacy Data

You are likely to have multiple voice and text-based legacy recordings residing in multiple systems across your organisation. Many of these will pre-date current compliance legislation or contain data that you no longer have a need to retain.

We help by utilising our tools and process automation to access your legacy data and consolidate this onto a unified platform with a single ‘indexed’ pane of glass. In doing this we can inspect each element in terms of compliance, redacting sensitive information, remediating toxic data and encrypting to ensure security.

We make your legacy data accessible, not only providing you with an efficient way to search and replay interactions, but to mine and analyse this data for valuable insights.

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Financial Compliance Best Practice Guide

Take a look at our Best Practice Guide focused on ensuring compliance across financial services. We explore the key challenges and outline what solutions can be employed to deliver on your business objectives and your regulatory commitments.

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Creating Invaluable Insights

With the need to comprehensively record every interaction and transaction comes the opportunity to leverage this wealth of data to generates insight that are invaluable for your organisation.

We make it easy for you to analyse individual transactions by having all related elements linked together with the ability to replay the whole event in chronological order. We broaden your ability to detect insider trading by allowing you to analyse all transactions over time and spot anomalies that would normally be missed on a case by case basis.

Our Interaction Analytics also enables you to identify trends and insights in the business you are conducting which is invaluable in directing process improvements and identifying potential opportunities.

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Let’s Talk About You

With deep experience in financial services across a number of regulatory jurisdictions, including the UK, Europe, US and APAC, we know what’s required to deliver consistently compliant customer interactions.

We’d be happy to share how we’ve helped others to address recording and compliance challenges, and assist you with your own issues.

Simply complete the form and one of our team will reach out to you.