Feature · what this software actually does
Communications archive & lexicon
Captures email, chat, SMS, and voice with lexicon flagging; retention meets SEC 17a-4 and FINRA 4511.
automatedRuns unattended; humans handle exceptions.
Vendors that ship this
Leaders
- Smarsh
- Patrina
Adjacent
- Redoak
- Mycomplianceoffice
Build vs buy verdict
buy
Smarsh dominates enterprise; smaller RIAs use Smarsh-light competitors. Archive lock-in is real — migrations are painful.
Skills it exercises
Roles that touch it
Where it shows up in the workflow
- Communications archiving & lexicon flaggingdailyEmail, chat, and voice captured with lexicon flags routed to reviewers; retention satisfies SEC 17a-4.
Most relevant for
- Mass-affluent
- HNW
- UHNW
- Family Office
- Institutional / Endowment
Test yourself · topic quizTuned · Operations
Multiple-choice — different from any drill above.
Or play and read