How to Enable Communication Compliance

It’s hard for most financial organizations to remain compliant with regulations while extending communications beyond traditional channels. But do you really need to give up on the benefits of using mobile, unified communications solutions and messaging apps? Learn about the latest technology to build communication compliance.

Along with increased regulation, the number of communication channels in use has also exploded – leaving room for compliance gaps.


of respondents selected instant messaging as the channel where their firms are mostly looking to adopt communication compliance technology.

WBR Insights, 2019


of compliance executives stated to have specific plans to invest in specialist Unified Communications recording over the next 2 years.

WBR Insights, 2019

Top 1

compliance challenge in global banking is improving data quality for risk aggregation and reporting.

Moody’s Analytics, 2018

What Is A Compliance Gap?

The inability to capture all the interactions required by regulations, regardless of the channel in which they occur, and the resulting lack of communication compliance. May be due to the absence of recording tools capable of capturing the latest channels as well as traditional endpoints, or the lack of awareness that these communications have happened.

“Our company is considering to adopt new digital ways of communication. How can we exploit the latest collaboration platforms and the benefits of eComms while remaining compliant?"

While voice remains an important communication channel in the financial sector, organizations are looking for new digital ways to collaborate internally, interact with customers and negotiate trades. Applying new channels – including instant messaging, mobile voice and SMS, video, and the multiple forms of collaboration offered by unified communication tools – is expanding, while traditional compliance recording solutions are often limited to telephone voice capture only.

To avoid compliance discrepancies organizations often choose to play safe and simply restrict the use of digital platforms, risking to fall behind the competition.

“We need to capture, store and monitor enormous volumes of interactions and manage data across systems and data points, which is often a challenge.”

The latest wave of regulations requires organizations to capture all transaction-related interactions regardless of channel. Yet, the number of communication modes involved in financial services and trading have multiplied—let alone the changing employee expectations to use the latest digital collaboration and productivity platforms.

This causes a serious headache to most compliance and IT managers as each new channel means a new data type that needs to be captured, stored and processed. So, many organizations must limit the communication streams used by traders, front-office and back-office personnel, hindering productivity and risking that new channels will be used regardless, without the compliance team even noticing.

“We record and store a myriad of interactions to comply with regulations, but I’m not confident that we can retrieve and analyze this amount of information effectively.”

Adhering to all rules also means recording and managing a huge amount of unstructured data. As the digital communication modes are broadening, managing the data and responding to regulatory requests in a timely manner are becoming more complex than ever before. Additionally, legacy solutions are often unable to meet more complicated data retention requirements, such as automating retention policies or overwriting an existing retention rule when legal hold applies.

Using the latest technologies, businesses are looking for ways to not only focus on capturing the data but turn it into a valuable source of business intelligence to spur data-driven decision making and risk management.

“We have BYOD policies in place, but due to the strict regulatory obligations, we cannot afford to let our traders use their mobile phones to manage transactions.”

Using mobile is part of everyday life. Restricting cell phone usage for trade-related and customer interactions can set back productivity and lower employee morale. Due to limited recording capabilities, many organizations cannot capture mobile voice calls and messaging, preventing their staff from realizing the benefits of enterprise mobility.

In financial trading, every second counts. Allowing employees work on the go while interacting with counterparties, back-office personnel and clients can make or break a transaction. The lack of secure, compliant mobile communications should not be a bottleneck for your staff.

How We Can Help

Verint Financial Compliance provides a unified platform to record a wide set of communication modes across leading UC, trader voice, IP telephony, mobile, video conference and collaboration environments. It provides robust recording capabilities to capture and store the critical channels used at your financial services organization.

Enable compliance across all your interactions

Verint Financial Compliance can help your business remain compliant when using a multichannel and digitized communication environment. Our solution is able to capture the ever-increasing variety of communication modes including voice, IM, video, screen sharing, file transfer and other forms of content sharing. Deployed at back-office, middle-office and trading floor operations, Verint’s solution suite is designed to enable communication compliance for leading platforms by Cisco, Microsoft, BT, IPC, and more.

Meet regulatory demands, centrally record internal and external communication streams, manage and analyze large unstructured data sets and gain full control with real-time dashboards and reporting functionalities.

Manage and standardize data with ease

With its ability to securely retain and archive multiple media types captured from various sources, Verint provides a fully integrated data governance framework for storing, monitoring, managing and retrieving your most critical and regulated interactions. It enables businesses to meet strict recordkeeping obligations and meet your advanced compliance management needs, from legal hold to compliance case management.

Use a single, intuitive user interface to locate and replay any recorded media, leverage rich metadata, manage access to your recordings, protect data integrity, or track recording system performance.

Increase efficiency and gain actionable insights

New, stringent regulations such as MAR, MiFID II, the Dodd-Frank Act, and others require financial services and investment firms to record all transaction-related communications. In response, Verint offers a single platform to capture value from a diverse set of recorded data and instantly analyze enormous volumes of interactions. Verint Financial Compliance also unlocks essential analytics capabilities that can speed up compliance investigations, recognize trends and help you verify prices, quotes and trades.

Remain compliant, gain actionable insights and be confident in responding to regulatory requests with a holistic compliance platform.

Relevant Solutions



Capture brings you the platform to record a wide set of communications via leading unified communications platforms, voice trading environments and collaboration solutions. It offers scalable and robust recording for voice, IM, video, desktop screen activities and content sharing across IP phone, UC, mobile, trader turret, or video conference endpoints.

Learn more >>



Archive supports all your record-keeping and data management requirements. It offers a sophisticated data governance policy framework for data archival, validation, import, access and security. Its features enable rapid search and playback, data encryption, data export, collaborative case management, and other capabilities for streamlined compliance management.

Learn more >>


Speech Transcription &

Verint offers advanced transcription and analytics to make sense of unstructured data originating from financial services and trading environments. Convert data from recorded voice into business intelligence by transcribing, searching and analyzing interactions to easily reconstruct trade events, spot suspicious activities and provide proof of evidence to the regulator.

Learn more >>


European Asset Management Company

“The flexible Verint compliance software is easy to manage and it’s a very robust platform. Our audit and compliance teams can easily look through calls via the web interface without the need to disturb IT. Moreover, the solution also supports both Cisco and Skype for Business.”

Head of IT Infrastructure
European Asset Management Company

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