Reveal and manage risk

Facilitate efficient team-based supervision with specialized review workflows. Reviewers can mark, assign or escalate messages, add notes and view all message details in one centralized platform.

Apply our robust, customizable policy engine or our library of 40+ template policies to eliminate white noise and make your supervision work more effective. Be confident in your ability to meet global regulatory requirements from FINRA, IIROC, FCA, MiFID II and more. Additionally, leverage our expert Professional Services Team to maximize the value of your policies with health checks and policy tuning to meet the specific needs of your firm.

Adapt supervision workflows to meet your organization’s unique requirements. Whether your organization uses a centralized or decentralized review model, you can easily implement a solution to view and manage the messages you need to see. Configure custom escalation queues to effectively identify and respond to messages that require urgent attention.

Generate reports that demonstrate your review process in action and enable the evaluation of your policies and procedures. Provide full audit trails with the ability to show activity on every message in your archive.

When migrating legacy data to Smarsh, customers have the option to preserve a limited amount of legacy supervision data as metadata with each supervised message/document. This is a lightweight, auditable and truly advanced method of supervision data preservation. This will keep migration durations and costs reasonable. It also circumvents the complexity and high risks associated with attempting full supervision data migration. At the same time, this method offers full legacy supervision data searchability and discovery, without the need to search multiple systems. This unique feature is only available from Smarsh for Enterprise Supervision.

Enterprise Supervision offers API extensibility so you can integrate your archived data with your downstream trade, voice, or behavioral analysis tools. Supervision teams can use our APIs to surface surveillance analytics showing violation trends or to identify high risk employees and their sentiments amongst other use cases.

A common problem in supervision is repeated policy violations triggered by email messages that contain the previous thread appended to replies or forwards. These messages get repeatedly flagged, even after the original policy violation has been addressed in review. Enterprise Supervision introduces Echo Cancellation, an intelligent algorithm with the ability to identify, tag and close these echo email messages automatically. Echo Cancellation reduces noise and increases review efficiency, allowing your supervision teams to review the same amount of content with less effort.