Verint for Financial Compliance

Find the gaps in compliance with AI-powered speech transcription and analytics, pre-trained for the financial markets. Capture, retain, and analyze all communication modes across traditional and modern communications platforms to comply with strict regulations.

Industry-Leading Financial Compliance Solutions

Capture
Record, secure, analyze, and understand all your regulated interactions across leading communication and collaboration platforms in a unified, cohesive way.
Communications Analytics
Cutting-edge multi-lingual speech recognition and transcription capabilities, voice analytics, and best-in-class communications analytic 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 Compliance Recording
Certified by Microsoft, our enterprise-grade, secure compliance recording solution helps you capture, store, and manage all communication features – including persistent chat – automatically and compliantly in Microsoft Teams.
Zoom Compliance Recording
Leverage industry-leading capabilities for managing compliance investigations, analysis and legal hold, as well as tamper-proof archiving and retrieval of captured Zoom interactions.

Verint Financial Compliance works with the world’s greatest communication and collaboration platforms

Winner of the Most Innovative Regulatory Compliance Monitoring category at A-Team Innovation Awards 2023

Boasting multiple first-of-its-kind capabilities such as capturing persistent chats and conditional recording in Microsoft Teams, Verint Financial Compliance has always been a product driven by innovation.

We’re happy to be recognized for our efforts and proud to serve the financial industry by providing robust quality and compliance solutions in this digital age.

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Our Financial Compliance Customers

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Customer success

Verint and Axcess Nordic are helping Saxo Bank reimagine its compliance recording operations. Using Verint Financial Compliance, the leading Danish investment bank can compliantly capture, store, monitor, and analyze millions of regulated interactions – be it text, video, screenshare, or voice – across Microsoft Teams and Cisco telephony.

Read the success story

Read the success story

A revolutionary approach to compliance complexity

Digital transformation and modern hybrid-working mean compliance strategies also need to move up a level. Regulatory compliance is a significant challenge that carries significant risks and requires more than recording devices and interactions. And, if it weren’t complicated enough already, communications is no longer binary – interactions can now take place on a broad range of modalities and devices, and involve any number of people over a long period of time. All these changes to the way people communicate pose new threats and difficulties for financial firms.

Verint’s revolutionary new approach shifts the focus from technologies to the alignment of data around people. It puts employees – regardless of where they are, when they’re working and how they’re communicating – at the center of your compliance efforts.

Called Human Compliance™, it helps achieve a proactive, risk-based compliance strategy that finds the gaps in compliance data and achieves better results across your recording and surveillance activities.

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How to Overcome 8 Common Voice Challenges in Financial Compliance

As voice communication evolves, the challenges faced by financial services firms are becoming increasingly complex.

Read this eBook to learn how you can detect potential compliance and conduct breaches with Communications Analytics, Verint’s AI-powered speech transcription and analytics offering — designed for the financial markets.

Read the Ebook

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The biggest compliance challenges faced by financial services firms

Strengthening regulatory compliance

Financial markets are subject to ever more stringent and prescriptive regulations. The Dodd-Frank Act and MiFID II, MAR, and other financial regulations have tightened the rules for trade-related recordkeeping, monitoring, evidencing, and reporting. They’ve also increased fines and penalties for compliance failures. And if you operate in multiple regions with different jurisdictions, these challenges are multiplied.

Keeping up with the new compliance requirements is not a box-ticking exercise, but a long-term, strategic approach – with the right partner.

Learn How to Strengthen Regulatory Compliance

Enabling compliant communications

Voice is still a critical communications channel – but businesses are looking for new ways to collaborate, interact with customers, and negotiate trades.

New digital channels offer instant messaging, mobile voice and text, video, and other forms of collaboration. However, many compliance recording solutions only capture telephone voice – creating a regulatory compliance gap.

To help close this gap, Verint’s unified platform records and securely archives interactions across UC, trader voice, IP telephony, mobile, video conference and collaboration environments, including Microsoft Teams and Zoom.

Learn How to Enable Compliant Communication

Communications has become extremely complex

The world of communications has changed beyond recognition within the last three years. Voice is simply a part of a wider comms ecosystem. A huge amount of communications is now in multi-party conferences and across multiple communications modalities. Search & replay is no longer a solution purely for traders to review trade mismatches. Litigation holds and case management have a wider part to play in securing data integrity.

Data completeness and integrity

Ongoing communication monitoring, infrastructure testing, and compliance checks are resource-hungry tasks. Keeping up with all the changes, new communication channels, and changing regulations requires significant effort. Monitoring the status of telephony and voice networks, especially over multiple locations, is even more complex.

Verint Financial Compliance has kicked off a new program to automate monitoring and testing. Handle these tasks more effectively without human intervention, mitigating the risk of human error and freeing up staff to concentrate on other tasks.

Learn How to Gain Data Completeness and Integrity

Preventing compliance issues proactively

Many financial institutions are subject to multiple complex regulations that impact their communications environment. By proactively verifying adherence to policy rules and controlling information exchange, you can mitigate the risk of misconduct, unwanted disclosures, and faulty operations across your organization.

We can help your business take a proactive approach to help avoid issues before they occur.

Learn How to Prevent Compliance Issues Proactively

Turning data into intelligence

Today’s financial services firms must manage communications across multiple digital channels.

Verint Financial Compliance can help your business tap into the power of artificial intelligence. It enables you to extract value from voice and eComms with innovative speech recognition and voice analytics technology.

You can also gain actionable insights by mining and analyzing large quantities of communications data, which also helps to answer regulatory requests more quickly.

Learn How to Turn Data into Intelligence

How we can help

Verint Financial Compliance solutions offer a comprehensive, risk-based approach to compliance, helping you avoid fines and reputational damage. It combines proven technology, automation, data-driven business intelligence, and an open architecture to help you overcome complex compliance challenges while reducing operational costs.

Browse Verint Financial Compliance products

Capture

Financial services organizations face a growing number of increasingly complex challenges every day. Regulated businesses must be able to capture, store, and retrieve all trade-related interactions across all channels and modalities. Failure to demonstrate full compliance with the applicable regulations can result in severe consequences.

With Verint Financial Compliance Capture, you can record, secure, analyze, and understand all your regulated interactions across leading communication and collaboration platforms in a unified, cohesive way.

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Communications Analytics

In the past few years, communications has undergone fundamental changes. Interactions around trades have evolved from one-to-one exchanges to conference calls and persistent conversations – that is the linkage of communications between parties over a period of time – which we call non-binary communications. The challenges posed to financial firms by these changes can no longer be overcome by implementing a great capturing tool only.

Verint Financial Compliance is equipped with 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.

Discover Communications Analytics

Mobile Recording

Increased fines based on stringent regulations such as Dodd-Frank in the US or MiFID II in the EU are compelling financial organizations to look beyond managing by policy and extend their recording and surveillance efforts to trade-related mobile communications – regular calls and texts and digital interactions alike.

Verint Financial Compliance Mobile Recording is a fully aligned, integrated, and reliable mobile recording solution which can help you more confidently meet strict legal requirements to capture, store, and monitor mobile communications to avoid breaches, spot market abuse and insider trading, and mitigate conduct risk.

Discover Mobile Recording

Microsoft Teams Recording

Increasing digitalization is driving all industries to adopt new ways of working, and the financial services sector is no exception. More and more businesses are turning to Microsoft Teams to communicate and collaborate, but complex regulations often pose challenges and risks when it comes to compliance.

Certified by Microsoft, our enterprise-grade, secure Microsoft Teams recording solution can enable you to capture, store, and manage all communication features – including persistent chat – automatically and compliantly in Microsoft Teams.

Discover Microsoft Teams Recording

Zoom Recording

Today, unified communications and collaboration tools are at the forefront of employee and customer engagement. A leader in the 2021 Gartner® Magic Quadrant™ for Meeting Solutions, Zoom has become a flagship platform for enabling hybrid working in numerous industries, including financial services.

Verint Financial Compliance is integrated with Zoom and adds essential and industry-leading capabilities for managing compliance investigations, analysis and legal hold, as well as tamper-proof archiving and retrieval of captured Zoom interactions.

Discover Zoom Recording

Capture

Discover Capture

Communications Analytics

Mobile Recording

Microsoft Teams Recording

Zoom Recording

Financial compliance success stories

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
Large Investment & Retail Bank
In a highly-regulated industry like banking, accurately and completely recording phone conversations is imperative.
Case Study
European Asset Management Company
European Asset Management Company Enables MiFID II Compliance with Verint
Case Study
OFI Asset Management
OFI Asset Management Fulfils its Collaboration Compliance Mandate with Verint Financial Compliance
Case Study
Teams Recording Is Here
Don’t Delay Teams Rollout Any Longer – Teams Recording is Here!
Webinar
Risk-based capture for Zoom: Powering compliant Zoom communications in regulated businesses
Learn about Verint’s risk-based compliance recording for Zoom
Webinar

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

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Verint for Financial Compliance