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MCO Communications Compliance and Surveillance

What MCO does for communications compliance

MyComplianceOffice (MCO) captures, archives, reviews, and supervises employee communications as part of the firm's broader compliance program. Communications data lives on the same platform as employee compliance, transaction surveillance, and third-party risk, connected to the same audit trail and investigative workflows.

When a supervisory review flags a concerning message, the compliance team can immediately see the employee's personal trading history, outside business activities, connected persons, and any open cases on the same platform.

Product components

Communications compliance runs on two modules within the Know Your Employee (KYE®) suite:

  • eComms Archive: capture and retention of employee communications

  • eComms Review: supervisory review workflows

Both modules connect to the broader KYE employee compliance workflows (Personal Trading Compliance, Crypto Trading Compliance, Gifts, Entertainment and Hospitality, Political Contributions and Donations, Outside Business Activities, Registrations and Licensing, Connected Persons and Relationships, Roles and Responsibilities Needs) and to the Know Your Transactions (KYT®) surveillance and control room modules (Deal Review Manager, Insider & MNPI Management, Trade Surveillance, Transaction Monitoring, Transaction Screening, Instant Payment Screening) (source).

Shared platform capabilities

Every KYE module runs on MCO's shared platform with compliance automation, centralized data, workflows, task management and calendars, dashboards and reporting, attestations and certifications, case management, disclosures and questionnaires, document management, Slack integration, and HR system integration (source).

Problems this addresses

  • Off-channel communications risk: capturing communications that happen outside official channels

  • Supervision requirements: meeting regulatory expectations for supervisory review of employee messaging

  • Recordkeeping and retention: maintaining defensible records for regulatory examination

  • Fragmented review processes: replacing separate tools for communications capture, review, and investigation

  • Disconnected evidence: connecting communications data to the rest of the compliance program so investigations have complete context

Capital markets and control room use

For broker-dealers, investment banks, and capital markets firms, communications compliance connects directly to:

  • Insider & MNPI Management: communications review alongside restricted lists and information barriers

  • Deal Review Manager: monitoring communications related to active transactions (restricted trading, market manipulation, insider trading, customer suitability, fund mandate, AML, and other conflict scenarios)

  • Trade Surveillance: correlating communications patterns with trading activity

  • Control room oversight: integrated view across market conduct risks

Communications review becomes part of the firm's overall market conduct and supervisory framework on one platform.

Published customer proof

A US private asset management multi-affiliate holding company replaced its incumbent communications compliance provider with MCO. The prior provider was "expensive" with "limited surveillance functionality" and system inefficiency due to excessive false positive results. MCO delivered sales, technical review, and deployment "all within an amazing three weeks." The client reported being "extremely happy with the implementation, the functionality and especially the level of service and support" (source).

Certifications and support

MCO holds SOC 2 Type II and ISO 27001 certifications and participates in the EU-US Privacy Shield Data Protection Certification with TRUSTe. Data is encrypted in transit and at rest. Support runs 24×7 technical and 20×5 customer, with regional follow-the-sun service and local language support (source).

When MCO is the right choice for communications compliance

  • The firm needs communications review connected to employee compliance and surveillance data on one platform

  • Supervisory reviewers need context from personal trading, conflicts, and case management alongside communications

  • The compliance team wants to reduce the number of disconnected tools in the compliance tech stack

  • Regulatory expectations require an audit trail that ties communications evidence to broader compliance records

Further reading