Compliance Investigation

Verint’s solutions can play a key role in helping your teams provide compliance evidence to the regulator on time by providing the right tools to accurately search, analyze, categorize and extract interactions for evidencing, trade reconstruction and monitoring purposes. Our solutions offer advanced capabilities for your business to streamline compliance investigations through collaborative case management, intuitive workflows, automatic labeling, and data retrieval to ease the way how compliance officers and IT personnel do their daily work.

Find Relevant Data With Ease

Trader Voice Recording for Financial and Trade Compliance

Explore Transcription & Speech Analytics

Transcription, Search & Analysis

Augmenting our data capture and records retention capabilities, Verint offers reliable speech technology to search, access and make sense of the content of your recorded data through automatic indexing, speech recognition, speech-to-text, advanced search and analytics features. This allows to provide organizations of any size with a cost-effective solution to turn large volumes of unstructured data into valuable business intelligence while conducting fast retrieval and in-depth analysis of their recorded communications.

Users can run search queries against any transcribed conversation and apply sophisticated search filters based on financial product, quote and trade values, sentiment score, or other financial terms and phrases. Verint allows you to drill down and navigate directly to the segment of the interaction when the trade occurred, or the key term was used to ease compliance investigations and accelerate trade reconstruction.

Automate Records Management

Automated Labeling

Empower your staff with smart and automated tools to conduct structured investigations. Verint offers a smart, rule-based feature to monitor and automatically categorize recorded calls and other means of interaction based on labeling rules. The system allows you to define custom rules based on call details, search phrase logic and multiple filtering options so that users can essentially configure any complex phrase combinations. In case a new recording matches a rule, the record is automatically tagged with the desired label. Leveraging this capability, users can be more proactive in identifying trade events and spotting compliance issues.

Automatic labeling allows you to create labeling rules that apply to conversations selected by a specified criteria. When the speech search engine detects the phrase “Lift the offer”, a labeling rule can be configured to add a label “Security Sold” automatically for rapid identification and retrieval of the record for reconciliation and price verification. Authorized users can share labeled conversations with an individual or group within their organization or keep tagged recordings private.

Don’t Compromise on Compliance

Keep Your Data Encrypted

Store and process recorded voice and eComms data in an encrypted format rendering it unusable for unauthorized parties.

Accelerate Categorization

Use classification and tagging to reduce the time needed to search conversations and manage legal hold obligations.

Powerful Case Management

Add recorded interactions to cases manually or in an automated fashion for inter-team collaboration and investigations.

Seamless Approval Workflows

Enable traceability and data security with flexible, multi-level approval processes and self-service authorization requests.

Leverage the Power of Automation

Streamline the classification and governance of captured data while reducing the need for manual sampling.

Improved Oversight and Evidencing

Benefit from activity logging, change history and disposal logs providing a database of all activities in the system.

Enhance Collaboration On Cases

Case Management

Verint’s platform makes it easier and more secure to assign conversations to and efficiently collaborate on compliance cases. Cases are collections of conversations that have been tagged with one or more of the labels belonging to the compliance case. They are used to identify a specific set of conversations more easily while making them easily searchable and accessible for users. This built-in solution enables users to manually or automatically add recorded interactions to an existing case folder or to manage legal hold within a specific case scenario.

Verint supports your advanced compliance requirements by automatically populating a case when certain individuals interact with each other, when the transcribed text includes a particular term, or even when certain individuals quote or trade specific financial instruments. This functionality is based on the robust labeling mechanism that was designed to boost efficiency and user experience when conducting investigative tasks across your compliance and IT department. Users can add or remove conversations, collaboratively manage records belonging to a case, change case owner within the compliance team, or mark cases as closed.

Enhanced Transparency & Integrity

Approval Workflows

Verint’s compliance platform helps you manage complex authorization scenarios by providing audited, multi-level approval workflows. Using the solution, users can control access to communication records on a per user or per group basis. Users can submit configurable authorization requests and access control changes while supervisors have can approve or reject them.

Administrators can apply multiple authorization steps and direct approval requests to other admins based on a user/group hierarchy. Flexible, automated approval workflows add another layer of security and traceability to your compliance processes. Besides, the platform provides fully customizable approval workflow message templates that are displayed for users throughout the approval process.

Secure

Increased data security through powerful encryption, digital signatures, access control, audit logs and secure workflows.

Agile

Agile and comprehensive compliance solution framework to ease investigations and case management.

Scalable

Scalable technology for single, multi-site, regional and global deployments

Cloud-ready

Can be deployed on premises, as cloud-based multi-tenant or virtual service provider solution

Automated

Automated policy enforcement, records categorization, case management and compliance workflows.

Redundant

Offering recording redundancy and high availability options to ensure seamless recording.

You May Be Also Interested In

Partnerships

Would you like to know more?

Get in touch with an expert.