How to Build Compliance Oversight

As an organization evolves, the risk of siloed operation also rises. Each department uses its own system and communications infrastructure, which – without proper oversight and supervision – can make regulatory compliance efforts even more challenging.

Disconnected processes and a lack of operational and compliance oversight put an extra burden on organizations.


of compliance executives cited the increased adoption of automation for compliance oversight and operational assurance as the biggest future trend in the years ahead.

WBR Insights, 2019


of financial firms are outsourcing the compliance function due to the need for additional assurance on compliance processes.

Thomson Reuters, 2019


of responders said that automation of processes around information governance would help fulfil their short term priorities.

Burnmark, 2018

“We carry out spot checks but there is still a very real risk of missing a major compliance failure across complex systems and processes.”

Performing ongoing, proactive communication monitoring, infrastructure testing and compliance checks to prevent failures can be a resource hungry task. Keeping up with the speed at which employees are added or replaced in the system, communication channels are changing, and regulations are modified is putting significant weight on IT and compliance teams.

So, ensuring that your team has full operational and compliance oversight covering the communications environment, voice recorders, policies and regulated users can be an overwhelming exercise. Besides, staying on top of the state and performance of telephony and enterprise voice networks to make sure they are ready for daily operations required specialist skills and resources.  This problem is even multiplied when a company has complex deployments at multiple locations in different geographical regions.

“We need to constantly demonstrate that we have the necessary compliance measures in place. This is a daunting task as we have global operations with disparate IT environments."

The extent of data that needs to be captured, stored and properly managed across various systems makes it hard to locate and retrieve legacy data in a timely manner. Not to mention that communication records and the related metadata are often complex and costly to be properly extracted from legacy recorders and data sources. It’s no surprise that Compliance, Audit and IT teams usually struggle with the increased workload and the lack of tools to retrieve data from across different sources in an auditable format.

This can easily result in fire-fighting once an organization needs to respond to regulatory requests and prove that all required compliance practices are in place.

“My team spends too much time on monitoring and collecting data for day-to-day controls and management reporting activities. We lack a single view of operations, processes and adherence.”

Evolving organizations’ efficiency can be hindered by a disconnect and lack of communication between business units and the compliance function. It can easily happen that IT teams are not fully aware of the latest regulatory expectations, and using siloed systems while compliance officers lack an overall view of the state and health of systems, licenses, compliance alerts, and possible performance issues.

Unified reporting and real-time dashboards around trends, anomalies and events are often missing, making it hard for IT and Compliance teams to gain actionable insights. At the same time, managers and executives lack a single pane of glass view of operations and adherence for better decision-making.

How We Can Help

Verint can help your business improve operational assurance and compliance oversight to help adhere to regulations and avoid fines. By using Verint Financial Compliance, your business can use automation to monitor system health, inventory, status, and performance across each supported communication and recording service.

Build compliance oversight over your critical infrastructure

Verint Financial Compliance suite enables you to monitor your entire compliance and communication infrastructure across various tools and channels. Set up your own policy rules and ensure that you comply with internal and external regulations.

Enhanced with real-time tracking, alerting and policy matching features, this solution automatically spots any irregularities. By monitoring, testing and verifying systems, communication streams and endpoints across the business, Verint’s Financial Compliance helps you automate your compliance assurance and build comprehensive compliance oversight.

Automate checks and balances to reduce risk

Help your operations and IT teams meet monitoring and testing requirements more effectively, with fewer resources and less cost. Verint allows your business to automatically test audio quality on handsets, validate communication flows, and assure interaction recording is frictionless—without human intervention. It helps you rest assured critical communications are being captured as per recording policy while providing an intuitive dashboard view for administrators and managers to be aware of call recording issues and affected endpoints.

Help your compliance, control and IT teams meet monitoring and testing requirements more effectively, with fewer resources and less cost. This way you can save time and effort and let your staff focus on more complex, value-added tasks.

Enable better decision-making through actionable intelligence

Forget the struggle of collecting information scattered across your organization and increase oversight with insightful reports and visualized dashboards.

Verint’s solution enables you to ensure that your entire infrastructure is working properly and prevent the escalation of irregularities into serious issues. Get a thorough insight into your systems, endpoints, alerts, changes in a single pane of glass view. Use real-time metrics for actionable, auditable insights with instant reports on detected issues and global service performance.

Discover Automated Verification

Relevant Solutions


System Check

System Check is an automated solution that tests and monitors your entire communications and recording infrastructure. It helps ensure all the essential components are operating properly and alerts you to failures.

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Operations Check

Operations Check automatically conducts audio quality testing and scoring across handsets, communications platforms, and voice recorders. It verifies that recording systems are recording calls with acceptable voice quality that is auditable and optimal for playback and analysis.

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Policy Check

Policy Check offers a comprehensive, real-time tracking, alerting, and policy matching solution. It tests and monitors all events originating from critical communication systems, comparing them to the applicable recording policy. It operates across channels and different environments.

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Policy Engine

Policy Engine strengthens regulatory compliance oversight by monitoring and validating that correct policies are applied across your users, supporting a variety of trader voice, enterprise collaboration and voice recording solutions.



Ninety One

Ninety One leverages unified communication capture, data governance and compliance assurance from Verint across a complex, global infrastructure to strengthen adherence to regulations and reduce operational risk for their business.

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