Real-Time Alerts for Risky Communication Behaviour
In regulated industries, communication monitoring has traditionally been reactive. Firms would archive emails and chats, only reviewing them when a compliance audit or investigation demanded it. But this model is no longer sufficient. With regulators issuing record fines and reputational risks at an all-time high, institutions are turning towards real-time alerts for risky communication behaviour as a proactive layer of defence.
Risky communication can take many forms: the use of unapproved apps like WhatsApp or Signal, attempts to share sensitive client information outside official channels, or even inappropriate language that breaches conduct rules. By the time these behaviours are discovered in a retrospective archive, the damage is often already done. Real-time monitoring provides the opportunity to intervene before a breach escalates.
DeepView’s platform is designed to detect such risks as they occur. Using advanced monitoring rules, it flags potential compliance violations in real time. This includes identifying when an employee attempts to disconnect from a monitored chat or removes a conversation that should be archived – potentially moving a client interaction to an unmonitored personal channel. Compliance officers receive instant alerts that allow for immediate action, enabling intervention before a potential breach escalates.
The benefits of this approach extend beyond regulatory compliance. Real-time alerts also help protect firms against reputational damage, insider threats, and even fraud. A single misstep in communication can have wide-reaching consequences, from regulatory penalties to loss of client trust. By intercepting risky behaviour in the moment, firms demonstrate accountability and resilience.
Importantly, real-time monitoring must be implemented in a way that balances compliance with employee privacy. Overly intrusive systems risk alienating staff, while underpowered solutions fail to catch key risks. DeepView’s approach is to focus on context – detecting patterns of behaviour rather than surveilling every keystroke. This enables firms to enforce compliance while maintaining a culture of trust.
The regulatory climate also favours proactive controls. Supervisors such as the SEC, FINRA, and FINMA increasingly expect firms not only to archive communications but also to demonstrate preventative measures. Real-time alerts for risky communication behaviour provide a tangible way to show regulators that firms are actively mitigating risks rather than passively recording them.
As communication channels diversify and hybrid work expands, the ability to detect and act on risks instantly will only grow in importance. Firms that continue relying on retrospective monitoring may find themselves falling behind regulatory expectations. Those that embrace real-time compliance will gain both protection and a competitive edge.
Ultimately, real-time alerts are more than just a compliance tool – they are a critical safeguard in today’s fast-moving digital workplace. By embedding proactive monitoring into communication systems, financial institutions can reduce risks before they become liabilities.
