For risk and compliance professionals seeking to cost-effectively monitor business activities to facilitate regulatory compliance, FTI Consulting’s Compliance Monitoring Services combine deep regulatory experience with advanced technology to deliver a customized solution that reduces organizational risk.

A Proactive Approach to Compliance

As more U.S. and European regulatory agencies require active monitoring of employee communications and actions to prevent fraud and abuse, organizations are tasked with deploying software and programs to proactively enforce compliance. FTI Technology’s Compliance Monitoring Services ensures the following for organizational compliance:

Diverse data collection

The right data is collected and monitored. From email and audio files to enterprise-level social collaboration and messaging systems, such as Skype for Business, Slack or Bloomberg Chat, FTI Technology’s team can connect these disparate systems and automate the proactive monitoring of communications.

Program implementation

The compliance monitoring program is implemented for maximum effectiveness. This can span program and workflow design to change management training and managed services.

Artificial intelligence

Leading-edge technology can leverage artificial intelligence to learn from previous reviewer decisions and minimize false positives. The FTI Technology team has deep experience working with AI technology to fine-tune keywords and eliminate unintended bias.

Global regulation audits

The program stays current with evolving global regulations. The FTI Technology team can conduct regular audits and program updates to facilitate ongoing compliance.

Regulatory response

Critical matters are escalated for legal or regulatory response in a defensible and cost-effective manner, leveraging FTI Technology’s expertise in e-discovery and managed review.

Why FTI For Compliance Monitoring?

Technical expertise
Technical Expertise

FTI professionals have extensive experience working with diverse data environments, including off-the-shelf and in-house enterprise platforms and applications. The team is also well-versed in efficiently navigating complex IT environments across the globe.

Regulatory compliance experience
Legal and Regulatory Compliance Experience

Our global team is adept at designing and implementing compliance programs to adhere to specific legal or regulatory requirements, including SEC Rule 17a-4, 23 NYCRR 500, 17 CFR § 240.17a-4, DPA, GDPR, 21 CFR 202, HIPAA, PCI DSS, etc. FTI can also develop defensible documentation and have the credentials and experience to testify in court about the methods used. Our team is comprised of practitioners with a wide range of legal, privacy, security and technology certifications.

Program execution
Effective Program Execution

FTI is adept at translating high-level requirements into an executable project plan and effectively manage these projects from inception through completion. No matter the type or size of the matter, we can leverage proven, out-of-the-box workflows or design custom processes to quickly and cost-effectively deliver results. We have decades of experience developing standardized processes and templates, as well as implementing best practices and documenting workflows that integrate seamlessly with the client’s business model.