Effective compliance policy enforcement requires the coordination of multiple stakeholders, at both a local level (branch compliance officers) and corporate level (supervisors and compliance / legal departments). While monitoring and policy enforcement take place at the local level, our Compliance Supervisor allows local and corporate supervisors, compliance managers and legal departments to effectively oversee adherence at both the local and corporate level with company-wide policies and procedures. This is essential to protecting the integrity of compliance initiatives. Compliance Supervisor  allows companies to have complete control over their compliance initiatives and enable them to pro-actively respond to suspect behavior and changing regulatory conditions.

For many financial services companies, current compliance procedures consist of reviewing small email samples along with cumbersome manual procedures (and lots of file cabinets!) to review certain fax and hardcopy communications.  Our  next generation Compliance Supervisor provides enterprise wide policy management by incorporating online reviewing, online workflow with annotated approvals and rejections, sophisticated analytical tools for both local and corporate management improve the quality of supervision. Finally, integration with traditional distribution systems as well as newer communication tools such as instant messaging insures that all communications are reviewed in accordance with company policy. As a result, companies are able to scale and automate best practices while improving the supervision of adherence to policy and procedure. This solution moves beyond technical scalability and into business process scalability.