CALL MONITORING & COMPLIANCE
Streamline Audio Recording Supervision and Review
Call recording regulations, such as Dodd-Frank, PCI-DSS, and FSA have been in place for a while. But the expansion of Markets in Financial Instruments Directive (MiFID II) along with privacy laws like EU GDPR introduce new requirements and accountability for your recording compliance.
You now need to review and understand what is in your audio recordings.
Legacy tools make audio review difficult, inaccurate, and resource intensive. Theta Lake removes these challenges and streamlines your process. With Theta Lake you can:
- Scale your supervision with automation that saves your team time and resources
- Prioritize review based on risk score, rather than random sampling
- Reduce risk with a consistent, efficient approach
Theta Lake provides a purpose-built compliance suite that makes the review of call recordings easier, faster, and more accurate. The system uses deep learning and compliance AI to help your compliance teams automate policy risk detection and manage workflow for potential regulatory and compliance risks in your audio recordings.
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Automated Risk Prioritization
Theta Lake automatically prioritizes risk levels of your call recordings and identifies potential policy violations.
- Pre-built policies are powered by natural language processing and deep learning to automatically detect regulatory, conduct, and corporate governance risk
- Policies are regularly updated by our data scientists with decades of compliance risk detection expertise for dramatically improved risk detection and prioritization
- Easily create custom, company-specific policies that go beyond FP-prone lexicons with implementation into Theta Lake’s deep learning environment
“With Theta Lake, we satisfied our record keeping and archive objectives in a tightly integrated way for Zoom, and then went far beyond that baseline requirement. We saw that adopting it for our review workflows and bringing our compliance manager up to speed was a simple and seamless process. Plus, all of the automation capabilities it provides made it so that we could honestly do more without increasing costs,”
– Neil Kendall, Certified Financial Planner with Tupicoffs
Intuitive Review Workflow
Our solution’s streamlined workflow directs your compliance team through the recordings review process.
- Compliance Advisor Bot suggests potential risk detections for review, validation, or resolution
- AI-powered workflow delivers high quality review process that is directed, easy, and consistent
- Gain visual detail for each step in your recording review with our Visual Workflow Editor, which enables workflow editing and built-in content validation and routing
- Ensures the appropriate recordings go to the designated reviewer and that the right risk polices are applied
Value Added Integration
Theta Lake provides investment leverage with multiple integration areas for existing systems.
- Seamless integration with calling and collaboration systems like RingCentral and Red Box Voice
- Summary review data export and reports for legacy archive and eDiscovery systems
- Option to consume audio recordings and act as a long term secure, compliant archive
