SEC & FINRA Compliant Recording
Automatic recording of all client communications with tamper-proof storage. 7-year retention (configurable). Audit-ready export formats.
Financial Services
Compliant communications for financial institutions
Meet SEC, FINRA, and banking regulations with automated recording, secure archiving, and audit-ready documentation. Built for banks, wealth managers, and insurance.
The Challenge
Financial services face unique regulatory requirements
Compliance mandates, client trust, and audit readiness demand purpose-built communication tools.
Regulatory Compliance Burden
SEC, FINRA, and state regulations mandate call recording and retention. Non-compliance brings fines, audits, and license risks.
Client Trust Erosion
Dropped calls during sensitive financial discussions damage relationships. Poor audio quality makes clients question your professionalism.
Fragmented Communication Data
Call records scattered across systems. Compliance officers cannot produce audit trails. CRM data does not sync with communication history.
The Solution
Built for highly regulated financial communications
Automated compliance, secure recording, and seamless CRM integration in one platform.
E-Discovery & Search
AI-powered transcription makes every call searchable. Find conversations by client, keyword, or date range in seconds. Export for legal review.
Client Verification
Multi-factor authentication for sensitive calls. Voice biometrics option for high-security accounts. Automated compliance notifications.
Sales Pipeline Integration
Click-to-dial from Salesforce or HubSpot. Automatic call logging to CRM. AI detects buying signals and flags follow-up opportunities.
PCI DSS Secure Payments
Tokenized payment capture during calls. Agents never hear card numbers. DTMF tones masked from recording. Built with security controls to support PCI DSS compliance.
Real-Time Supervision
Supervisors monitor calls live for quality and compliance. Whisper coaching without clients hearing. Barge-in for urgent situations.
How financial institutions use SIPSTACK
Wealth Management Firms
Compliant client communications at scale
Your RIA manages $2B across 500 client households. Advisors need compliant call recording, CRM integration, and the ability to handle sensitive financial discussions from anywhere.
Key Benefits:
- Automatic recording of all advisor-client calls for SEC compliance
- Integration with leading financial services CRM platforms via API
- Secure video conferencing for portfolio reviews
- Call analytics show which clients need proactive outreach
- Mobile app lets advisors work from anywhere with full compliance
Insurance Agencies
Quote, bind, and service with confidence
Your independent agency writes policies across 10 carriers. You need call tracking for commissions, compliance recording for E&O protection, and automation to handle quote requests.
Key Benefits:
- Call tracking by carrier and policy type for commission reconciliation
- Recording and retention meets state insurance regulations
- AI agents provide instant quotes for standard policies
- Skills-based routing sends calls to licensed agents per state
- Automatic follow-up for quotes that did not convert
Regional Banks
Branch and call center communications unified
Your community bank has 15 branches and a centralized call center. You need to route customers to their relationship manager, comply with banking regulations, and maintain detailed records.
Key Benefits:
- Account-based routing connects customers to their banker
- GLBA-compliant recording and encryption
- Fraud detection AI flags suspicious calls in real-time
- Integration with core banking systems (Jack Henry, Fiserv)
- Automatic compliance notifications for regulatory calls
Common questions about financial services communications
How does SIPSTACK meet SEC and FINRA requirements?
SIPSTACK records all communications automatically with tamper-proof storage. Recordings are retained for 7 years (or your specified retention period) in secure, immutable storage. We maintain audit logs of who accessed recordings and when. Metadata includes caller ID, call duration, and participants. Export formats meet regulatory requirements for audits and examinations.
Can advisors use personal mobile devices compliantly?
Yes. Our mobile app ensures all calls to clients route through SIPSTACK and are recorded automatically. Advisors see their business line caller ID, not their personal number. Text messaging through the app is also captured and archived. This meets FINRA requirements for supervision of off-channel communications.
How do you handle PCI compliance for payment calls?
When a customer provides payment card information, our IVR captures it directly without agents hearing or recording the data. Card numbers are tokenized and passed securely to your payment processor. Agents see only the last 4 digits. DTMF tones are muted from call recordings. This is built with security controls to support PCI DSS compliance.
What about integration with our CRM?
SIPSTACK integrates with leading CRM and compliance platforms via API. Click-to-dial from contact records, automatic call logging, and screen-pop of client data when they call inbound. Custom API integrations available for proprietary systems.
Can we export recordings for audits?
Yes. Compliance officers can export recordings by date range, user, or client with full metadata. Export formats include audio files (WAV/MP3), transcripts (PDF), and call detail records (CSV). Exports include chain-of-custody documentation. We also support direct integration with compliance archiving platforms.
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