Strengthen Regulatory Compliance

Stringent legislation around the world have tightened the rules to address insider trading, market abuse, money laundering, data breaches, and management accountability. Keeping on top of increasingly complex financial regulations is tough, but it can be done.

Financial compliance challenges in numbers

Top 2
The top 2 egulatory compliance challenge remains MiFID II for surveyed asset managers and investment firms from across Europe.
WBR Insight
57,364
57,364 regulatory alerts from over 980 global regulatory bodies in 2018 – averaging 220 alerts a day.
Thomson Reuters, 2019
$394bn+
$394bn+ regulatory fines have been imposed on European and North American banks since the financial crisis.
Boston Consulting Group, 2019

Customers

Verint helps financial services organizations transform their compliance operations and confidently navigate through increasingly complex trading regulations.

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Keeping up with increasingly complex regulations

The Dodd-Frank Act, MiFID II, MAR, and other financial regulations have tightened the rules for conducting trades. They’ve also increased penalties for compliance failures.

Keeping up with government policies, industry standards, and codes of conduct poses a significant challenge – particularly if you operate in multiple regions with different regulations.

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Avoiding the consequences of non-compliance

Failure to be compliant can result in hefty fines, settlements, and reputational damage – or even penalties imposed on individuals, including prosecution, million-dollar fines, and imprisonment.

The only way to get close to 100% compliance is to check 100% of relevant interactions, 100% of the time. But this would leave you with less resources for other responsibilities such as investigating insider trading and front running, spotting conflicts of interest, and looking for signs of financial crime.

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Elevating compliance without increasing costs

Compliance teams must navigate regulatory uncertainty and increased scrutiny, while monitoring and reporting on data, processes, employee conduct and the underlying infrastructure.

How can you:

Prevent employees from acting “out-of-compliance” in the first place?
Quickly identify and deal with exceptions?
Minimize the number of false positives while monitoring adherence?
Avoid being caught out if your compliance infrastructure malfunctions?
Provide regulators with what they request in the timescales allowed?

How we can help

Simplify and automate your financial compliance measures with proactive and automated tools that capture, store, index and verify every interaction, removing the burden of manual checks and the risk of non-compliance.

Reduce regulatory compliance issues proactively

Verint’s innovative solutions provide dynamic, real-time issue prevention. They automatically reduce the risk of breaking financial compliance rules by controlling who can communicate with who, blocking or redacting inappropriate messages, and protecting sensitive data.

Capture, index, store and retrieve all interaction data, and manage operational and conduct risk while controlling your communications infrastructure. With Verint Financial Compliance, you can comply with regulations, no matter how detailed or complex they are.

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Increase efficiency – with a unified regulatory compliance platform

Simplify your operations and cut costs with robotic process automation (RPA), AI, an open architecture, and a range of integrations and APIs.

Verint’s holistic compliance suite provides you with a unified platform to capture data, manage communication records, and easily retrieve data from a variety of sources.

And its enhanced scalability and interoperability will smoothly adapt to your future growth.

Read the Datasheet

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Explore a real customer success story

Read the Case Study

Read the Case Study

Browse Verint Financial Compliance products

Capture
In financial services it is imperative that you capture, secure, analyze, and understand all regulated interactions — across all channels and communication modes. Verint Financial Compliance makes all of your interaction data available for analysis in a unified and cohesive way.
Communications Profiling
Cutting-edge multi-lingual speech recognition and transcription capabilities, voice analytics, and best-in-class communications surveillance features. All powered by artificial intelligence and pre-trained for the financial markets.
Mobile Recording
Centrally capture and manage all your traders and back-office employees' regulated mobile calls and text messages to boost employee productivity and business results simultaneously - all while staying compliant with strict trading regulations.
Microsoft Teams Recording
Unified, risk-based compliance recording for Microsoft Teams. Capture, archive, analyze, and retrieve interactions across all modes of communication from Teams voice calling, meetings, and collaboration streams.
Zoom Recording
Benefit from unified, risk-based compliance recording for Zoom Phone and Zoom Meetings. Capture, archive, analyze, and retrieve interactions across voice, video, and screen sharing.

Insights & Resources

Monitoring the Silence – Illuminating Black Holes in Communications Surveillance
Communications surveillance had been a constant challenge for businesses for years, but the pandemic-induced advance of digitalization and the...
Analyst Report
Data Capture, Automation and Surveillance in the Digital Age
A paradigm shift is underway in financial risk and compliance — driven by a changing regulatory landscape, the use...
Analyst Report
A change in conversation – Let’s talk about the future of financial compliance
For years, conversations around financial compliance focused on recording calls, texts, chats, and other interactions on different devices. However,...
Webinar