Erado

Supervision and Compliance

 Erado's supervisory applications and automation services reduce compliance officer management time by upwards of 80%

Monitoring and supervising e-mail, Bloomberg messages, instant messages, and social media content is one of the most costly areas of compliance.

Effectively supervising employee electronic communications to comply with regulatory requirements is becoming more and more challenging.  Organizations in heavily-regulated industries, such as financial services or government, are obligated to review, supervise and preserve client communications and to produce these messages when necessary.

FINRA-registered organizations have to regularly review their representatives’ electronic messages, document these visual inspections, and note any actions that result.

Erado's Supervisory and Compliance service provides a fully automated, feature rich, set of auditing tools designed to replace the arduous supervisory tasks that auditors manually perform and replace them with a fully automated system that reduces workloads including review and
notation process time.

Simply put, Erado's automated Supervisory and Compliance service utilizes Erado's deep-scan technology to search email, email attachments, instant messages, Bloomberg mail, and social media posts for your organizations defined lexicon, and once found, take the prescribed action specified by your organizations compliance policies. When manual supervision is required
the auditor is automatically notified in real-time or near-time.

How It Works

As part or the archive process all inbound, outbound, and in-server emails and attachments are scanned using Erado's deep scan technology with your pre-defined and fully customized lexicon

When an email, Bloomberg messages, instant message, or social media post are found to have questionable content,  real-time notification to compliance can be generated for immediate review or the content is flagged for later review and reporting.

When coupled with SecureMail-Plus, Erado's email encryption and supervisory application the message can be held and notification sent to the sender, compliance officer or both for approval or rejection.

To learn more about Erado's archiving, security, and compliance products and solutions please contact us at 866-67ERADO (866-673-7236)