GUIDE

Voice Compliance Checklist for Financial Services Firms

Use this checklist to assess whether your voice controls are consistent and audit ready.

Voice communications sit at the center of regulated financial activity, yet many firms struggle to consistently capture, supervise, and keep these interactions across an increasingly fragmented mix of devices and platforms. This checklist helps technical and compliance leaders evaluate their current voice architecture, identify gaps in coverage and governance, and implement a defensible, risk-based framework that stands up to regulatory scrutiny while improving audit readiness and operational efficiency.

What you’ll learn

How to

• Inventory regulated voice channels across your environment
• Set defensible standards for record determination
• Validate capture coverage across teams, tools, and regions
• Unify voice supervision with email and messaging oversight
• Strengthen retrieval, retention, and privacy controls

Why these matters

Voice compliance gaps rarely come from a single system failure. They usually emerge when capture, supervision, and retention standards are spread across multiple tools, teams, vendors, and jurisdictions.

• Limited visibility leaves regulated conversations unsupervised
• Channel-based rules can miss recordable business content
• Inconsistent capture creates blind spots during audits
• Siloed archives slow investigations and supervisory review
• Weak retrieval and retention processes increase enforcement risk

Find the gaps before regulators do

Access the full story to see the seven control areas that shape a defensible voice compliance program, where fragmented oversight can create hidden risk, and how to evaluate whether your current approach is consistent, documented, and ready for scrutiny.