Roles

Compliance & Supervision

Efficient compliance and governance across digital channels.

Today’s firms are challenged with enforcing an increasing number of regulatory mandates and policy obligations. Hearsay 360 provides a comprehensive compliance solution that enables firms to monitor, supervise and comply with policies and industry regulations including FINRA, SEC, FFIEC, IIROC, FCA and MiFid II requirements. The patented Hearsay 360 solution includes record keeping and universal supervision across all advisor social media, text messaging and local website activity, enabling organizations to easily and cost-effectively comply with complex regulatory requirements.

Compliance & Supervision

„Before Hearsay, our compliance team would spend weeks at a time working with reps to update and edit content. With the Hearsay platform compliance has become streamlined and content issues are resolved within minutes.“

Fanette Singer, Senior Vice President of Marketing, COUNTRY Financial

Compliance & Supervision

„Our financial representatives and compliance teams alike love that the Hearsay enterprise platform is specifically built for our industry to help our advisors and our members connect and engage across all forms of communications in today’s digital era.“

Knut Olson, former Senior Vice President, Mission Advancement, Thrivent Financial

Compliance & Supervision

“No other offering in the industry provides the same level of content publishing and compliance in one robust social business platform.”

Ruth Papazian, Former CMO, HD Vest Financial Services

Capture, monitor and supervise across digital channels

Hearsay 360 provides a single system for firms to manage communications and advertising compliance across advisor social media, local websites and text messaging.

Unified view of advisor activity for efficient supervision

Hearsay 360’s unique Universal Supervision view aggregates advisor activity across digital channels for a single contextual view, so supervisors can use context and history to make faster approval decisions. As more communication channels become available, supervision efficiency becomes more important. Hearsay 360 is optimized so each compliance user can supervise more individuals across more channels.

Flexible policy controls

Each company’s policy is different and policies often change over time. Hearsay 360 provides controls so compliance leaders can create and adjust policies based on evolving company standards and changes in regulations.

Pre-approve content

For content that is considered static advertising, pre-approval is necessary. The Hearsay 360 content solution allows teams to distribute pre-approved content and pre-review static or advertising communication before it is published or shared by advisors in the field.

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