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 Advisor Cloud 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 Advisor Cloud 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.”
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.”
Compliance & Supervision
“No other offering in the industry provides the same level of content publishing and compliance in one robust social business platform.”
Capture, monitor and supervise across digital channels
Hearsay Advisor Cloud 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 Advisor Cloud’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 Advisor Cloud 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 Advisor Cloud 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 Advisor Cloud 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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