Supervise with confidence with streamlined compliance workflows

Smarsh Professional Archive enhancements bring efficiencies to RIAs and broker-dealers

Making compliance easier

RIAs and broker-dealers are caught in the balancing act of meeting employee demands for hybrid and flexible work with regulatory demands for communications oversight. The struggle is further compounded by the need to find new ways to drive efficiencies.

The Smarsh Professional Archive meets this challenge head on with enhancements that are purpose-built to streamline and simplify supervision workflows.

Spot risk faster

The new automatic keyword highlighting capability allows you to identify risks faster and more easily when reviewing a high volume of messages. You no longer need to spend hours finding a needle in a stack of needles.


Zero in on risk

Refine and build upon search parameters without starting searches from scratch. With the ability to modify existing searches, you’ll be able to complete high-priority and urgent risk-tracking tasks seamlessly and without interruption.

Reduce violations caused by human error

Expand your supervision and review teams with a new virtual assistant. Professional Archive now comes with a native chatbot to support supervision-related tasks by minimizing human errors in daily and critical reviews.


Increase oversight of compliance workflows

Gain oversight of your oversight with the new reporting menu and dashboard. Quickly switch between different report types to get the information you need — when you need it — to truly understand and minimize your firm’s risks.

Are you ready to reimagine your supervision workflows?

Whether you need to improve your supervision capability with your platform or increase your supervision program’s effectiveness, Smarsh can help.