Chief Compliance Officers and Compliance Teams

A modern approach to communications compliance

Get the Guide: The 2019 Electronic Communications Compliance Survey Report

The way we communicate has evolved. And so has the global regulatory landscape challenging compliance teams. However, many businesses still depend on outdated compliance solutions, leading to heavy prohibition policies or the risk of regulatory sanctions. Modern businesses need technology that can unify and simplify compliance processes, while managing the risk and harnessing the value in their communications data.

Smarsh is the only Enterprise Information Archiving provider that captures the broadest range of content and does it the right way – in its native format and with full context. Rather than having to manage multiple siloed archives for different data, Smarsh customers have all of their archived electronic communications centralized in one place with universal search, policies and data production capabilities. The Smarsh Connected Archive has fully integrated, purpose-built Supervision applications. This enables your review team to systematically work through their queues dramatically faster and more effectively.

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Key challenges facing compliance teams

Challenges

Our Solutions

Sophisticated supervision

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Compliance teams need to be able to retain, search, supervise and produce the right content at the right time, quickly understanding the full context of communications across multiple channels. They also need to demonstrate to regulators that all communications governance policies are working as required.

Smarsh archiving and compliance solutions help you zero in on the areas of risk within your electronic communications data. Templated and customizable supervision policies can either be applied globally or uniquely to each communications channel, reducing the noise of false-positive search results. Advanced multi-tier review queues, action panels, roles, reporting, escalation, auditable workflows and many more functions ensure the efficient management of risk across all communications channels. This also provides your compliance team with the ability to demonstrate evidence of supervision to regulators.

Effective review systems

Without the right supervision tools, compliance teams waste significant resources on manually reviewing messages across multiple channels. Enterprise Supervision provides customizable policies that can be tailored to your organization, together with a purpose-built user interface behind a single pane of glass for the supervision reviewer.

This enables your review team to work through their queues much more quickly using a single, comprehensive solution. Full context preservation for all communications and user-driven workflows improves effectiveness for Supervision reviewers. Our intuitive solution and workflows mean less time is needed reviewing false-positive search results, so more review time can be spent focused on spotting the real risk.

Scalable technology and open APIs

Smarsh has been the leading provider of archiving solutions for the past two decades. We have developed deep industry expertise serving clients of all sizes and complexity, from small businesses to the world’s largest banks and government entities. With these distinct needs in mind, the Connected Archive comes in three separate versions to serve different customer needs.

Our technology is built for scale; as data volumes grow, resources can be added with no impact on performance. Customers benefit from our open APIs which allow for ingestion of custom content as well as integration with analytics and machine learning tools for enhanced data insights. Combined with dashboards and reporting capabilities, Smarsh enables you to not just see risk, but to stay ahead of it.

Comprehensive capture

Smarsh supports the largest capture coverage in the industry, enabling you to ingest data from over 80 communication channels. This includes the most widely used email, instant messaging/collaboration, social media, mobile, voice and web platforms. We are constantly adding support for the latest and most popular channels. Content is captured in its native, unaltered format with its original conversational context intact. Beyond the 80+ channels that we support out of the box, customers can also capture and manage custom networks and channels using our APIs and SDKs.

Archived content is automatically indexed, made easily searchable and can be produced on-demand. This ensures that you are able to confidently meet regulatory obligations from FINRA, SEC, IIROC, FCA, GDPR MiFID II and other global regulators.

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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.