A Modern Communications Surveillance and Supervision Solution for Financial Services Firms

Empower your compliance team to meet today’s data-heavy communications needs with our AI-powered supervision and surveillance system.

v-play-btnEnterprise Conduct is an all-in-one e-communications and voice compliance system that facilitates FINRA 3120 supervisory controls to improve the effectiveness and agility of your supervision, surveillance and audit teams.

Future-proof your communications surveillance

Your financial services firm is facing increasing supervisory pressures. Regulatory attention is mounting, enforcement actions and fines are skyrocketing, and new regulations are being introduced — all while communication technologies continue to evolve. Enterprise Conduct is the single compliance solution your firm needs to meet supervisory requirements and surveillance needs while consolidating, simplifying and streamlining your alert review and audit processes.

Benefits of our communications surveillance solution

Enterprise Conduct empowers compliance and audit teams to easily meet global regulatory requirements from the likes of SEC, FINRA, FCA, MiFID II and IIROC.

  • Surface true risk
  • Increase supervision agility
  • Ensure transparent audit trails
  • Plan for data volumes and variety
  • Manage voice and multilingual risks
  • Discover a true compliance partner

Reduce the noise and identify true risk with regulatory-grade AI/ML

Reclaim misspent time and budget that was wasted on needless reviews. Enterprise Conduct uses regulatory-grade artificial intelligence and machine learning technologies to reduce unnecessary alert volumes. Reduce false-positive alerts by 95% and empower your compliance teams to identify true risk and violations sources 3x faster.

Easily and quickly test and deploy your supervisory and surveillance controls

Empower surveillance and supervision teams to build, test, analyze, refine and control monitoring of communications in context (scenarios) with Enterprise Conduct’s intuitive workbench. Provide Model Risk Management documentation your audit teams can share with the board and regulators.

Test pre-packaged or custom scenarios using robust real-world data and our intuitive drag-and-drop interface. Refine and launch scenarios in minutes or hours, not weeks or months.

Provide bulletproof transparency to board and regulators

As regulatory sweeps increase, Enterprise Conduct is designed to help firms demonstrate adherence to written supervisory procedures (WSPs) or a model review board. Explain with confidence and documentation why specific measures were selected to mitigate risk — and help your firm complete and pass regulatory reviews and exams quickly with minimal disruptions.

Future-proof your communications surveillance

As a module that runs on the Smarsh Enterprise Platform, Enterprise Conduct is a cloud-native supervision and surveillance system that has all the advantages of public cloud technologies. This includes scaling for data growth, triple-active availability, centralized data storage, innovative APIs, extensible framework, and industry-leading, multi-layered data security and encryption. The result is you are able to reduce complexity and future-proof your team’s agility.

Ensure compliance coverage with voice surveillance

Your global business spans the communications gamut, including conversations in multiple languages. Enterprise Conduct provides powerful and accurate native voice and speech-to-text technology to help compliance teams detect risk in other languages — reducing the need for costly transcription services.

Maximize Enterprise Conduct with dedicated Smarsh support

Smarsh will be your partner throughout your Enterprise Conduct journey. We have a full breadth of services, including onboarding and implementation services, on-demand webinar training, tailored training with a Smarsh instructor, and direct access to 24/7 support experts and a dedicated technical account manager who know and understand your environment.

Future-proof your compliance solution today

Surveillance and compliance for financial services should not be disparate and fractured systems. Speak with a Smarsh representative to learn more about the Enterprise Conduct all-in-one supervision and surveillance system.

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