Communications Compliance

By designing and implementing Proactive Compliance solutions, Wilmac can help you anticipate issues, identify potential problems before they become realities, and automate necessary countermeasures. Verifying all endpoints of recording prior to the start of the trading day and proactively identifying unrecorded calls reduces the risk of a regulatory violation and can increase efficiency by automating litigation hold requests, retention periods for all lines of business, and moves, adds, and changes (MAC). With real-time recording reconciliation, Wilmac’s solutions will check for missing or partially recorded calls. If discrepancies are found, stakeholders are automatically notified so they can immediately troubleshoot underlying issues and proactively notify regulators.

In the long run, Wilmac will help you achieve an operating environment that protects consumers and the firm’s reputation more efficiently. You’ll be able to improve operational visibility, minimize fraud and risk, and save valuable time, money, and resources with our Proactive Compliance solutions.

Microsoft Teams is changing the way we work and communicate with our colleagues. But in today’s rigid and unforgiving regulatory environment, ensuring compliance across all of your Microsoft Teams-based Communications is essential.

Utilize Wilmac’s Microsoft Teams Recording solution to capture, record, analyze, and verify all of your MS Teams-based Communications like voice, video, chat, and screen sharing across all devices, and access the data in one centralized interface. MS Teams recording can easily integrate with your existing Compliance Recording system.

An important and necessary part of the trading workflow for transacting complex financial instruments is voice communication. Trading turrets are still heavily used to ensure seamless interactions among traders and broker dealers. Wilmac will help you tackle increasing regulatory demands by recording, retaining, monitoring, and retrieving trader calls from market-leading dealer board platforms from our partners.

Wilmac’s trading turret recording solutions will help your business capture interactions associated with the trading lifecycle via leading turret and intercom platforms to meet relevant rules for records retention, monitoring, and reporting under relevant financial regulations.

Designed to work with trader voice environments and strengthen adherence for your trading floor, Wilmac’s communication compliance offerings are there to make sure your operations are scalable, reliable, available, centralized, and secure.

The latest global-reaching financial regulations demand far more meticulous monitoring of transaction processes with comprehensive collection of trade data and communication records. Manual trade reconstruction is time-consuming, complex, risky, and inefficient in today’s regulatory environment.

Automated trade reconstruction can automatically identify, capture, analyze, and verify unrecorded calls while filtering out and reporting potentially valid regulatory violations in your compliance infrastructure. Automatically analyze communications at all user endpoints and reconstruct the timeline of any transaction within one centralized interface.

By reducing turnaround time, maximizing the efficiency of your Compliance Assurance process, and producing the evidence you may need to present in an investigation, automated Trade Reconstruction can save you time and money while protecting your firm’s reputation in the process.

The world of financial services has brought along an increasing amount of federal oversight, especially in telephone conversation monitoring and archiving. These regulations bring along the need for companies to implement voice recording and monitoring technologies that hold off potential government regulation of the issue, aid in dispute resolution, limit legal liability, and effectively store and analyze all communication on the trading floors.

To effectively meet current and future regulations regarding voice recording, retention, and retrieval in an ever-evolving regulatory environment, companies need an efficient, secure, and centralized solution for all regulatory compliance needs. Wilmac offers these voice recording, retention, and retrieval solutions while working to facilitate business critical operations on multiple channels in a way that meets your financial compliance needs.