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Intelligent Supervision Regulatory Compliance

Meet FINRA, SEC and IIROC obligations quickly and effectively with regulatory compliance and monitoring services. Supervise, review and report on all correspondence. Reduce compliance risks. Streamline regulatory audits and investigations.

Overview

Financial services firms face some of the world’s most stringent and complex regulations. Proofpoint Intelligent Supervision regulatory compliance monitoring helps streamline compliance. It’s fully integrated with Enterprise Archive for easy capture, review and reporting. That means complete visibility across your email, instant messages, collaboration tools and social media.

Features and Benefits

Make Regulatory Compliance Reviewers More Efficient

Most regulatory compliance review teams spend too much time sifting through messages to find violations. Tools that promise to automate the process often add to the workload with a deluge of items incorrectly tagged as compliance violations. Your reviewers don’t need to work harder; they need to work smarter.

 

Here's how Intelligent Supervision makes your regulatory compliance reviewers more efficient:

  • Pre-approved content for disclaimers and documents means less noise.
  • Violation previews save time and avoid review on false positives.
  • Granular message filters help target review.
  • Advanced filtering helps refine and prioritize reviews.
  • Conversation threading enables you to group and review related messages in a single step.
  • All archive content can be searched to find messages that are related to violations found during review.

Customize Your Supervision Strategy

You need a next-generation compliance monitoring service that is flexible and optimized for your business needs—not one that forces you to work around its limitations. Intelligent Supervision offers real-time visibility and flexible workflows. That means more control and reduced risk.

With Intelligent Supervision, you get enterprise scalability and proven performance for even the largest and most complex organizations. Customized workflows by compliance division provide isolated administration, access and reporting to maintain privacy and security. Multi-tier escalation offers greater scrutiny by employee or violation type.

Real-time compliance monitoring dashboards and reports let you easily manage the review process. You can track and monitor the progress of reviews and quickly identify bottlenecks. Real-time alerts let regulatory compliance and review teams know when queues grow beyond acceptable thresholds.

Complete Audit Readiness

With Intelligent Supervision, you’re always ready to respond to regulatory compliance audit requests at a moment’s notice. With more analytics, real-time dashboards and collaboration features, you can simplify and optimize supervision as your data volume grows.

With Intelligent Supervision, you can:

  • Easily capture and review a broad range of communication tools. These include email, Bloomberg, IM, social and enterprise collaboration tools.
  • Review reports provide evidence to compliance auditors that you are complying with your stated review policy.
  • Get productivity reports that ensure all reviewers are executing their workload against your timeline.
  • Easily export review history and deliver it to auditors in an industry-standard format.
  • Comply with SEC 17a-3/4 storage rules.