Prevent compliance risks proactively
Proactively verify adherence to policy rules and control your communications environment so you can efficiently manage compliance risk related to misconduct, unwanted disclosures, and faulty operations across your organization.
Customers
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Avoiding conflicts of interest and ensuring that policies are applied consistently
The financial industry is pressured to show that it’s actively preventing potential compliance breaches. Transactions pose a significant risk, but so do personal interactions and employee conduct. Technology can help proactively control collaboration channels and ensure that policies are applied across users, services, and applications.
A surveillance system for unauthorized interactions, unwanted disclosures and other communication risks can be a game-changer for compliance officers. But many organizations still focus on reacting to compliance issues after-the-fact.
Identifying and blocking malicious interactions and content exchange
Preventing compliance risks such as conflicts of interest, data breaches, and other forms of misconduct proactively can be challenging. Some organizations also struggle to prove to regulators that their business has full control over infrastructure, processes, and changes within their teams.
Being able to automatically verify that the rules are implemented correctly and applied across all regulated systems and transactions is not only important, but it can be a valuable strategic advantage.
The solution is at hand
Verint can help your business take a proactive approach with the right tools to prevent and manage compliance risk across your organization. Our solutions can help ensure employees are operating within the required boundaries while saving time, resources, and costs that would otherwise be spent on corrective actions.
Go beyond after - the - fact compliance
Avoid issues before they occur and stay compliant with financial services regulations. By applying ethical walls—virtual communication and content barriers between teams and individuals—your business can easily control who can talk to whom and what kind of content can be shared across leading unified communications platforms such as Microsoft Teams, Zoom, Cisco Collaboration, and more.
Prevent conflicts of interest and data leaks across all interactions to avoid penalties and fines under MiFID II, Dodd-Frank, Sarbanes-Oxley, and more.
Close gaps in your regulatory adherence with comprehensive oversight
Improve compliance oversight across critical trader voice, enterprise collaboration, and voice recording solutions. You can also validate that all regulated users are accurately recorded during their employment, no matter the devices they use.
Using automation, your risk and control teams can set up information and content barriers and detect signs of non-compliance more efficiently. By stopping or avoiding most problems before they escalate, you can mitigate compliance risks and reduce the resources needed to remedy missteps.
Featured Solutions
Featured Resources
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Industry Recognition
Most Innovative Regulatory Compliance Monitoring, A-Team Innovation Awards 2023
Best Compliance Product at UC Today’s UC Awards 2022
Microsoft Certified Microsoft Teams Recording Solution
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