Compliance Call Playback Workflow

Submitted by admin on Mon, 07/05/2010 - 07:27
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Secure, Automated Playback for Enhanced Regulatory Compliance and Operational Efficiency

Trading floors face strict regulations that affect both systems and processes. Telephone conversations on trading floors must be recorded to achieve regulatory compliance and limit company liability in cases of customer disputes. But recording calls is only half of the equation. Organizations also are required to ensure that access to call recordings is monitored and audited. NICE Trading Replay Authorization, part of NICE Compliance Recording and Analytics, automates the call playback workflow, enabling fast, secure access to audio archives via an easy-to-operate process.
 
NICE Trading Replay Authorization is a browser-based application that provides an auditable workflow process for replaying calls as part of the dispute-resolution process. It enables traders and front- and back-office staff to find interactions of interest simply and intuitively, then replay them directly from their desks after receiving approval from their managers and compliance officers. The approval workflow can be customized to match companies’ specific requirements, and requests and notifications are performed via email and web browsers, which streamlines the process and saves time.
 
NICE Trading Replay Authorization benefits:
 
  • Secure and quick access to audio recordings for compliance management and dispute resolution
  • Time savings for traders, desk managers and compliance officers seeking to resolve disputes
  • Fully automated retrieval and playback for online and archived calls
  • Audit trail of each access to recording archives
  • Readily available information about past disputes
  • Reporting and auditing capabilities