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Reveal and manage risk

Increase reviewer productivity and streamline compliance.

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Establish and maintain an effective supervision system

The volume and variety of today’s electronic communications is causing financial firms to struggle to meet their supervisory obligations. It is critical for firms to have the right supervision solution in place in order to stay compliant. With the Supervision App, regulatory requirements can be met effectively and risk managed for all electronic communications retained in the Connected Archive.

How It Works?

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Demonstrate to auditors both the design of the system and proof of the supervision work that is being performed.

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Conduct review that is efficient and effective across a high volume and diversity of archived data.

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Stay ahead of the risk created by the ever-expanding list of communication channels being used by employees.

Key capabilities

to achieve compliance and manage risk:

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Review Queues

When it comes to the primary review of messages, reviewers have purpose-built interfaces to facilitate flow and engage in their review performance. With the Supervision App, reviewers have a custom workspace for a Google-like review experience.

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Policies & Policy Management

Rich policy management is available for multi-national, regional, and country-specific supervisory requirements from FINRA, IIROC, FCA, and MiFID II, and more. Clients benefit from reduced false positive rates through expressive policies that can be applied globally or uniquely to each communications channel. Supervision policies are intuitive, easy to construct and human-readable for maximum review efficiency.

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Configurable Workflows

Configurable supervisory workflows can be adapted to meet each organization's unique requirements. Flexible escalation paths can be enabled to meet centralized and decentralized review models.

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Extensibility

The Supervision App has complete APIs to integrate with trade, voice and behavioral analysis tools for comprehensive compliance surveillance.

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Reporting

Reports can be generated across your review organization to prove design of your supervision system as well as tracking completion of supervision tasks. User-defined reports and custom reports can be built by reviewers using a wide selection of data points.

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Migration Assistance

To assist clients with moving from one supervision system to another, Smarsh has out-of-the-box policies to ease the transition from legacy supervision tools. Our team of Professional Services experts are also available to support policy conversion.

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Review Queues

The Supervision App is a one-stop-shop to a more prescriptive review process, allowing reviewers to mark and assign messages, read and add notes, and view details in a single location. One-click functionality in Review Queues, which can be populated by specific network or content types and can be combined with escalation paths, maximize efficiency in the review process.

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Policies & Policy Management

Users can manage and govern the safe usage of all electronic communications by implementing policies to meet regulatory compliance and mitigate other risks. The Supervision App offers a basic set of pre-defined policies to address common compliance issues and typical risks while reducing the white noise of irrelevant messages. Users can then add new policies and refine existing ones at any time to further reduce the number of messages flagged for review to only those that pose real risk.

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Configurable Workflows

The Supervision App’s action panel enables users to easily mark messages as Reviewed, an Escalation, or a Violation. Escalation Queues allow supervisions to identify and assign messages quickly that require urgent attention and perform additional review. Reviewers can prioritize easily with at-a-glance status and disposition of messages.

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Reporting

Supervision users can pull reports to evaluate review progress for individual reviewers or an entire team. The app also features built-in audit trails that show the activities on every message, which can aid internal and external audits.

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Simple Onboarding & User Experience

Onboarding for the Supervision App is simple to enable review teams to get up and running quickly. Customized set-up allows teams to create specific criteria for reviewers, so everyone has access to the relevant information they need. Users also have access to a refined knowledge base of articles to guide them through the supervision process and the Smarsh Professional Services team can be made available to assist with policy tuning, assisted review and to provide a Supervision Health Check.

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Still have questions?

Talk to our sales team who will walk you through our plans and the different options for your organization.