CRM & Email

How we Helped a Leading Financial Service Firm Achieve Reliable Tracking and Compliance of Outbound Email Communications

company overview

  • Been in business for over 40 years
  • Provides investing and trading services for around 11 million client accounts
  • Makes Wall Street accessible to individual investors and delivers access to education, resources, and services to customers

Location

Omaha, NE

Industry

Finance

Employees

8939
Working with SPAR since
TD Ameritrade

SPAR  by Numbers

1000

+

Completed Projects

15

Yrs

In the Industry

140

+

Metric 3

$100

m

Metric 3
1000
+
Completed Projects
20
+
Years in Business
6
+
Year Average Client Partnership
100
+
Technologies Supported

challenges

  • Needed a solution to track all email communications in Archival solution to meet compliance and audit requirements
  • Outbound emails generated from CRM application had to be intercepted before messages left mail servers
  • Tracking information needed for supervision and audits was not readily available
  • Needed to make sure that solution would not expose sensitive information to external customers
  • It was also required to ensure efficiency for reviews and audit activities across different regions

solutions

  • Conducted multiple sessions with various teams to understand the functions and operations thoroughly
  • Analyzed processes to identify technology & application constraints, and to evaluate solution options
  • Developed solution architecture to ensure alignment between IT teams and business units on solution strategy
  • Integrated CRM platform, corporate IdM platform, email infrastructure, and compliance systems

Solution Offered: CRM Managed Services

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results

  • Achieved reliable tracking and compliance of outbound email communications
  • Were able to intercept outbound emails, administer tracking information, and mask sensitive information
  • All outbound email messages were archived in a compliance platform
  • The efficiency of compliance and audit search requirements improved tremendously
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