Ten Steps To Establish A Strong Compliance Framework For Managing Communications

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To establish a strong compliance framework for managing communications within a firm, it is essential to implement clear policies and procedures, and provide appropriate training and resources to employees. Here’s a streamlined approach to ensure adherence to communication protocols:

  1. Define Approved Channels: Clearly specify which communication channels are approved for business use. This prevents ambiguity and ensures that all employees understand the boundaries. Avoid creating unnecessary obligations beyond what is legally required.
  2. Implement Exceptions Carefully: While exceptions for emergencies or logistical issues can be allowed, be cautious with their use. The more exceptions you allow, the harder it is to maintain compliance. Make sure employees use their judgment wisely and understand the policy thoroughly.
  3. Provide Convenient Communication Methods: Ensure that employees have access to convenient and compliant communication methods. This reduces the temptation to use unauthorized channels. Regularly remind and train staff about these methods to keep them top-of-mind.
  4. Train and Reinforce: Conduct regular training sessions to educate employees about acceptable communication practices. Reinforce this knowledge frequently through reminders and certifications, ensuring employees stay informed about the policies.
  5. Surveillance and Monitoring: Implement robust surveillance systems to monitor communications and ensure compliance. Use keyword searches to detect the use of unauthorized channels. Regular audits and red-flag checks can help identify potential breaches.
  6. Manage Personal Devices: Develop policies to prevent business-related communications on personal devices. If personal devices are used, ensure there are mechanisms to archive and monitor these communications. Consider third-party services for high-risk individuals or situations.
  7. Encourage Whistleblowing: Foster an environment where employees feel comfortable reporting non-compliance. Highlight the financial and reputational risks associated with breaches, and ensure there are clear escalation protocols.
  8. Senior Leadership Involvement: Engage senior executives in the compliance process. Their commitment is crucial for setting the tone and ensuring trickle-down adherence. Regularly discuss compliance issues at management meetings to keep them prioritized.
  9. Document Compliance Efforts: Keep thorough records of all compliance-related activities, including training sessions, certifications, and one-on-one check-ins. This documentation can serve as evidence of your firm’s commitment to compliance.
  10. Regular Reviews and Updates: Continuously assess and update your policies to adapt to new communication technologies and methods. Stay proactive in addressing emerging risks and ensuring your compliance framework evolves accordingly.

By implementing these measures, firms can create a robust compliance environment that minimizes the risk of unauthorized communications and ensures adherence to regulatory requirements.

About TeleMessage

TeleMessage captures and retains mobile content, including mobile SMS messages, voice calls WhatsApp, and WeChat conversations from corporate or BYOD mobile phones to ensure compliance with various data protection regulations. The messages are securely and reliably retained within TeleMessage servers or forwarded to your choice of archiving data storage vendor.

Our mobile archiving products securely record content from mobile carriers and mobile devices for various ownership models (BYOD, CYOD, and employer-issued). With our multiple archiving solutions, you can always find the right tools or blend for your requirements:

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