Compliance Made Easy with Smarsh Professional Archive Dashboards
For many RIAs and broker-dealers, the threat of non-compliance is a strong driving force to increasing regulatory oversight. In the past, achieving a high level of oversight to meet demanding compliance needs was a huge challenge and seemingly impossible to some — but not anymore. It’s not only become a necessity, it’s also become easier and more efficient through years of innovation.
That’s why we’re excited to announce new enhancements to our Professional Archive platform. With these updates, firms can streamline their compliance processes and achieve greater data visibility with four flexible and easy-to-use dashboards.
Become more efficient with enhanced dashboards
The new Smarsh Professional Archive dashboards will enable firms to eliminate blind spots and add efficiency by customizing how users view data and receive alerts. The purpose-built dashboards are designed for specific reporting needs, allowing users to easily and effortlessly:
- View and understand data ingested into the platform
- Track reviewer activity
- Monitor policy hits
- Reveal performance trends for review teams
The enhancements to the Smarsh Professional Archive platform will allow firms to find and review digital communications data up to three times faster. Users can make the most of customized alerts and data filtering, including user-defined thresholds and alerts for when content is ingested into the archive. Users can also see when flagged messages and policy hits fall outside the firm’s expected upper and lower limits.
Furthermore, reports can be sent directly to users' inboxes, allowing them to immediately find issues before logging in to do deeper analysis. This significantly reduces the burden on users’ time constraints while also helping determine if a firm should adjust which data it captures. Compliance managers can use the dashboards to view and understand the number and percentage of:
- Messages reviewed
- Messages that need to be reviewed
- The average review count by day
- Channels and feeds that have been reviewed
"Our objective is to make compliance easy for firms – enabling more efficiency and effectiveness for those that don’t have the luxury of devoting additional resources to this area of their business. The new Professional Archive dashboards will help solve these challenges by making compliance easier for everyone at no additional cost, thanks to a unique suite of tools that do not exist anywhere else."
Streamline your communications supervision
With recent developments such as the Marketing Rule, compliance professionals are tasked with demonstrating reasonable supervision to regulators. The new Smarsh Professional Archive dashboards will make supervision — and the demonstration of compliance — easier. Firms get greater visibility into their data through four flexible and easy-to-use dashboards. Each of the dashboards will help to eliminate blind spots and add efficiency by customizing how users view data and receive alerts.
In addition, compliance managers can use the dashboards to monitor policy hits, track reviewer activity, and reveal performance trends for review teams. Smarsh continues to innovate and improve its offerings to make it faster and easier for firms to supervise their communications.
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