PROACTIVE COMPLIANCE
Supervise, surveil, and respond to conduct risks, compliance issues, and data protection needs with Theta Lake Proactive Compliance. Improve Digital Communications Governance and Archiving (DCGA) with more effective detection, more efficient review, and more potent remediation to reduce resource drains, improve compliance outcomes, and evidence risk reduction.
Supervision & Surveillance Challenges
With rising regulatory fines and increasing personal liability for compliance professionals, the requirement to perform and demonstrate supervision of digital communications is at an all time high. Coupled with the need to protect sensitive customer and private data, the cost of surveillance and data exposure failures is simply too high not to invest in effective and complete solutions to keep your organization safe.
Unfortunately, current solutions and approaches for surveillance and supervision struggle with true effectiveness metrics, a high cost of operation, and slow and low ROI because of their many challenges with quality, complete, and timely data as well as fragmented, fragile, and overly bespoke detection:
Common Challenges:
Poor Quality of Data
Poor quality of data and poor detection results, which is often the case when the data capture isn’t of adequate quality, and then data quality is further impacted before receipt by disconnected surveillance tools.
Lack of Completeness of Data
Missing data records and data spread across voice and eComms silos causes missed context in communications and conversations, that results in missed risks and review inefficiencies.
Delays in Timeliness of Data
Siloed and fragmented capture of communication data in upstream voice and email archives result in gaps and misalignment in delivery times and in unified conversation records that span voice and eComms. The delay combined with the non-unified data and lack of context result in less effective, late, and often missed detection of risk.
Fragmented Analysis and Detection
Implementations that are dependent on data from upstream archives and compliance recording, and that haven’t built a pipeline that can ingest any mode or modality of content from its source typically struggle to have analysis strengths across modalities and the full scope of content. Those range from size limitations in what they can process through analysis to inabilities to span across voice to text to images to drawings to files to video. That fragmented coverage often means more manual effort to look and review content to overcome false positives and false negatives.
Overly Bespoke and Fragile Implementations
Although tempting to approach all detections as unique and purpose built for only your environment, the result is slow implementation and limitations based on the data challenges noted above. The time and effort often results in a low number of non-scaled detections that are constantly being refactored to address limitations. That results in ever increasing manual work for both the implementation team as well as the review team. The cost of vendors and approaches that are largely tool-kits and custom builds is high, the resource drain is high, and the impact on effective supervision is often low relative to the constant “care-and-feeding” required.
The Right Approach to Supervision & Surveillance
A unified compliance approach for Digital Communications Governance overcomes this. By starting with quality and highly performant unified data capture at the communication infrastructure layer, including the ability to support all communication modalities across eComms, aComms / voice, and vComms / visual content of all types and then extends with the unified ability to:
- Capture all of that communication data together
- Reconcile all records for completeness
- Apply the right detections to the right modalities and participants
- Route it to the right workflow behavior
- Ease the reviewer effort
- Find the right items for review
- Provide robust reporting with logging,
and have the ability to do more than alert with true remediation and response mechanisms in the communication tools themselves, is the Theta Lake solution.
Benefits of Theta Lake Supervision & Surveillance
By solving the data quality, completeness, timeliness, and data silo problems associated with today’s surveillance products while leveraging patented AI and ML, Theta Lake’s solution – across capture, archiving, search, discovery, surveillance, and supervision – enables measurable improvements to effective and efficient detection, review, and response.
Detection
Review
Response
See the Difference:
A Platform Built for the Nuances of Modern Collaboration
Detect Items of interest and concern
- Built-in and continuously maintained ML detections across content types and modalities
- Options to add custom detections (lexicons & models)
- Explainability and audit reporting built-in
Robust Supervision Workflow
- Intuitive visual workflow builder and editor
- Supports “n” number of unique workflows and actions
- Fully audited and easy to validate
Build Bespoke & Flexible Surveillance
- Combine Built-in and Custom Detections with ‘n’ number of filters and workflows
- Easily modify and update rules (seconds versus months)
- Audit and validate detection
Review from risk-prioritized queues
- Support 1st – 3rd level review processes
- Segment by priority, demographics, or geographies
Assist Reviewers
- On-demand Translation
- Detection marking for easy navigation
- Time Saving True-Positive and False-Positive Handling
- Full audit trail
- Flexible workflow actions and labeling
Remediation & Evidence of Action
- Remediate problematic communications directly from review
- Insert training notifications and content
- Report and evidence response and corrective action
Differentiators Designed to Deliver
Advanced Detection
Effective Built-in ML-based Classifiers
Multiple categories for SEC, FCA, FINRA, ESMA, GDPR and related Compliance, Data Protection, Security, and Workplace Acceptable Use… Models built and automatically maintained and updated by an expert team to find key common areas of compliance interest and risk across industries (easy to implement, rapidly aligned to industry requirements, maintained by regulatory and data science experts – so your teams don’t have to.)
Custom Detection Builder
Supports keywords, lexicons, and models – including support for import, efficacy testing, and side-by-side implementation with Theta Lake built-in classifiers. You can leverage existing work and IP in trusted detections you’ve built, while also creating unlimited unique detections for any of your organizations’ specific needs.
Risk Sensitivity and Scoring
Settings and customization allows you to increase priority on certain detections, improve searchability on others, and reduce signal noise from lower risk or lower priority items.
Advanced Compound Detection Rules
The compound detection builder enables comprehensive refinement in detections by combining multiple classifiers, context filters, and custom content into a combined rule with custom risk handling options. You can create highly targeted and unique detections for finding highly specific scenarios and risks bespoke for your organization without the fragility, inflexibility, and dependencies of bespoke-only classifiers and tools.
In depth Explainability & Auditing
Built-in classifier audit reporting, to validate model and classifier efficacy, improve training, and optimize reporting and evidence for internal and external stakeholders.
Efficient Review
Efficient Segmentation and Record Routing
Prioritize route communications records by source, tool, type, participants, region, and more, for efficient review handling and prioritization with Smart Workflow Routing & Review Rules (SWRV Rules.)
Visual Workflow Builder
Use existing workflow templates, modify them, or create custom workflows to drive review workspaces and actions using an intuitive and auditable visual workflow builder.
AI-assisted Review Work Space
A dedicated review interface and workspace with full access to all metadata, content types, and playback, as well as an easy-to-annotate review area. This includes AI assistance in navigating detections in the communication records, the ability to validate detections with additional feedback loop training options, and full logging and auditing of all reviewer actions and steps taken in the review for internal and external reporting.
Effective Action & Response
Automated Disclaimers and Training Content
Reduce the risk of communications before breaches happen, with automated disclaimers added to conversations and retained records with customization options for groups and communication types.
Controls and Configuration Drift Monitoring
Patented monitoring, alerting, and remediation of communication platform controls, with posture monitoring, configuration drift alerting, and reconciliation reporting.
Remediation in Communication Channels
Move beyond slow alerting results and poor evidence of compliance action with options to remediate content and communications in persistent chats and chat channels including Teams, Slack, Zoom Team Chat, RingCentral Glip, Webex Messaging and more.
Automated Training Content
Evidence the delivery of corrective notifications and training in meetings, chat and more with prebuilt and customizable templates inserted with disclaimers as well as with remediation and posted in communication channels to one or many participants. All notifications and training support short and long form content as well as hyperlinks and are fully logged available for evidence of next best action.
Privacy and Sensitivity Redaction
Automated and reviewer-driven redaction options to mask sensitive data in Theta Lake storage, archiving and review. Includes the description of the reason for the redaction,while keeping the capture and storage of sensitive data from becoming an exposure point.
