Choosing the right compliance partner isn’t just about features. It’s about protecting your firm’s reputation, reducing operational risk, and ensuring exam readiness without disrupting how your advisors work.
Before committing to a vendor, ask these 13 questions to assess whether their platform truly aligns with your regulatory and operational needs:
Archiving Capabilities Across Channels
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Do you capture iMessage, Android text, and WhatsApp natively and in real time?
Not all archiving solutions offer full BYOD support with secure text whitelisting. Confirm how texts are captured, whether users need a second device or app, and how private conversations remain protected. -
Are personal devices supported, or are employees required to use a separate phone or application?
Solutions requiring device or behavior changes often fail in real-world adoption. Choose a platform that fits into how your team already works. -
Do you archive social media posts, comments, and direct messages across LinkedIn, X, Instagram, and YouTube?
Modern advisors engage clients across multiple channels. Ensure all digital touchpoints are covered, including InMail and video transcription. -
Is YouTube and video content automatically transcribed and stored in an audit-ready vault?
As video grows, so does regulatory scrutiny. Verify whether the platform supports full video-to-text transcription for search and oversight.
Pricing, Access, and Reporting Transparency
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Do you offer straightforward, flexible pricing or are we locked into tiers?
Avoid opaque pricing models. Ask whether fees are based on users and connectors—not arbitrary bundles—and whether there are hidden costs for downloads or data access. -
Can we tailor our plan by communication channel and number of users?
Granular control over contract scope and scalability ensures you don’t overpay or under-protect your firm. - Do you charge for data access, onboarding, storage, or downloading reports?
A platform that charges you to access your own records introduces risk and budget uncertainty. Look for a provider with zero data access fees. -
Can we generate on-demand, customizable reports (at no additional cost)?
Custom reports should be available instantly, with filters by channel, user, and timeframe, so you’re always prepared for audits or internal reviews.
AI & Automation for Compliance Oversight
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Is your AI specifically trained to interpret SEC and FINRA requirements in context?
Generic AI won’t cut it. Ensure the platform’s intelligence is purpose-built for regulated industries and continuously updated as rules evolve. -
How is AI supervised, and how does it align with our internal governance framework?
Ask how the system maintains explainability, allows overrides, and supports your supervisory procedures—not bypasses them. -
Does the platform automate randomized communication reviews?
Built-in automation should ease your supervisory burden while ensuring policy alignment and documentation. -
Is the AI trained to ignore email disclosures and signature footers?
False flags waste valuable time for compliance teams. Look for advanced filtering logic that improves accuracy without manual intervention. -
What is your average reduction in false positives and how is that measured?
A high signal-to-noise ratio is essential. Archive Intel, for example, reduces false flags by up to 99% through contextual AI trained on regulatory guidance.
The Bottom Line for CCOs
Effective compliance doesn’t require more tools, but it does require the right one. Archive Intel combines real-time communications capture with AI oversight, customizable workflows, and complete audit readiness. It’s purpose-built for firms that need control, transparency, and peace of mind.
