Hearsay Compliance Advisory Services

Delivering compliance insights, analytics, and training

Hearsay’s Compliance Advisory practice ensures your compliance program is leveraging the most up to date solutions and resources to meet your specific objectives in a compliant manner.

Custom Discovery and Risk Assessment

Hearsay partners with you to conduct a complete assessment of your lexicons, analyzing flagged content and providing recommendations to minimize false positives while improving supervision effectiveness. Hearsay also assesses your compliance configuration and processes and implements necessary changes to enhance the use of the Hearsay platform.

SERVICES include:

+ Lexicon Analysis & Supervision Dashboards

+ Compliance Audit

Custom Compliance and Supervision Training

To help compliance administrators drive value to their organizations, Hearsay Compliance Advisory Services offers a certification program in compliance administration. The program dives deeply into the product and shares industry best practices that will further your key objectives, and drive efficiency and automation. Additionally, Hearsay works with you to design and deliver a series of webinars designed to help train your Hearsay users, create awareness of new features, and share best practices.

SERVICES include:

+ Compliance Certification

+ Compliance Training

Compliance Analytics and Reporting

Hearsay partners with your team to analyze their compliance policies and supervision processes to minimize the firm’s risk while ensuring an efficient client engagement experience for advisors. Hearsay Compliance Advisory Services can create custom compliance reports via Looker based on each customer’s unique requirements.

SERVICES include:

+ Custom Compliance Reports

Compliance Resource and Technology Optimization

As organizations evolve and policies and procedures shift, Hearsay Compliance Advisory Services partners with you to reconfigure your supervision dashboard, ensuring that the review process meets the needs of the program. Hearsay will conduct analysis of your supervision dashboard setup and provide additional guidance based on Hearsay and industry best practices. We can also update your field team on advisors’ social media profiles to ensure they are in compliance, which is critical when regulations change or when an organization goes through a name change or merger and acquisition.

SERVICES include:

+ Compliance Enterprise Business Review

+ Supervision Reconfiguration

+ Profile Update Automation

Want to Learn More about Hearsay’s Compliance Advisory Services?

Our mission is to make life simple for compliance teams – we stand ready to advise on best practices and how to leverage Hearsay as a key part of your overall compliance strategy.

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