Tackling Financial Services Compliance Head-On

The financial services industry is in a constant state of change — and with every shift, compliance expectations rise. In a recent blog post, FINRA’s CEO outlined key focus areas for the industry, including the need to modernize rules, strengthen oversight, and reduce risk. It’s a timely reminder that as regulations evolve, so must the systems and strategies firms use to manage them.

At Arctera, we see this as more than a regulatory moment — it’s a broader opportunity for firms to take control of risk, respond faster to change, and create stronger compliance programs that do more than check boxes. Below are just a few of the ways we’re helping firms address these challenges with confidence.

See risk sooner, adapt faster, and stay compliant — that’s the Arctera advantage.

Managing Risk with Proactive Oversight

Regulatory rules may shift, but one thing remains constant: your need to manage risk to operations, customers, and market confidence. That starts with oversight — the ability to know what’s happening, where it’s happening, and whether it aligns with policy.

With Arctera Insight Surveillance, firms get early signal detection across a wide range of communication channels. By applying standards and policies across digital interactions, you gain visibility into behavior before it becomes a problem. It’s a proactive approach to identifying risk — not just a reactive one.

Navigating Change with Flexibility and Insight

Rules will continue to evolve. New tools will emerge. Regulatory priorities will shift. Arctera helps you stay ahead by making it easy to adapt without disruption.

Our Information Governance and eDiscovery solutions are built to give you granular control over your data and communications. Whether you’re auditing a past decision or responding to a new requirement, you’ll have the flexibility and clarity you need — without adding unnecessary complexity to your workflows.

Modern Communications, Managed Intelligently

Modernizing your compliance approach means managing communication channels you may not even know your employees are using — from collaboration platforms to mobile messaging and beyond.

Our Capture technology ensures complete visibility across all communication platforms, helping you stay on top of who’s saying what, where, and how. With Arctera, you don’t just collect the data — you understand it, control it, and govern it effectively.

Reducing Compliance Burdens Without Cutting Corners

Regulatory burden is real. But it doesn’t have to be overwhelming. Arctera is designed to reduce friction by making your data work for you.

Our Data Insight tools help you identify what data you have, how it’s being used, who’s accessing it — and whether it should be kept, archived, or securely disposed of. And our immutable archive ensures that what you retain is secure, tamper-proof, and audit-ready — every time.

We also offer data risk assessments that help you identify and mitigate vulnerabilities before they become compliance issues, fraud risks, or brand reputation problems.

Oversight That Sees the Big Picture

From policy violations to potential fraud, oversight today means more than just flagging keywords — it means understanding context.

With Arctera, firms gain deep visibility into communications, behaviors, and patterns across the organization. Whether you’re combating cyber risks, preventing internal misuse, or ensuring conversations align with compliance obligations, we help you spot the signals that matter most.

Visit Us at the FINRA Conference to Simplify Compliance

Join us at the FINRA Annual Conference and experience how Arctera helps firms cut through the noise and focus on what really matters — real risk, in real time.