essex national securities case study
TRANSCRIPT
Case Study: Essex National Securities Selects Smarsh for
Smarter Archiving Sophisticated Supervision Tools Make the Difference
COMPANY PROFILE Essex National Securities, LLC (ENSI) is an independent broker-
dealer that offers turnkey, investment programs for banks of all
sizes.
Regulated by the Financial Industry Regulatory Authority (FINRA),
member firms like ENSI must supervise its representatives’
electronic communications, retaining records in a secure and
unalterable format. When requested, records must be produced
quickly and completely.
SUCCESS STORY
THE CHALLENGE Frustrated with its existing archiving solution’s cost and capabilities
for email and social media, ENSI sought a new provider.
ENSI needed a more effective solution to categorize, flag, and
escalate emails and social media during supervision.
A provider’s ability to support large, complex installations was critical
based on ENSI’s geographically distributed branches with multiple
different domains.
SUCCESS STORY
THE SOLUTION The Smarsh Archiving Platform = faster, smarter search across all content
types, including social media and email.
Smarsh is a trusted compliance provider with deep understanding of
records retention and compliance regulations.
Its easy-to-use, flexible platform enables extension of supervision policies
across multiple content types, including social media.
Smarsh is recognized for its responsive customer service.
SUCCESS STORY
SUCCESS STORY Smarsh policy engine allows for greater efficiency in message review,
keeping the compliance team focused on reviewing the right
communications with fine-tuned, consistent filters.
Reporting makes it easy for ENSI compliance management team to
oversee supervision efforts of the nearly 300-person team of
geographically distributed staff.
Smarsh support personnel work directly with ENSI to onboard new
users, answer questions, and resolve system issues – freeing ENSI IT
staff from the process.
SUCCESS STORY
“With Smarsh, I can spend less time on oversight and
more on honing our broader compliance
strategy.”
John CooneyChief Compliance Office, ENSI
“I believed Smarsh would help me do my job better. I
was right. ”
“The migration to Smarsh made my life easier from the
beginning. Our previous vendor had considered us the IT
department for all our branches, putting a burden on my staff.
That ended when we went live with Smarsh.”
Judy NunanCompliance Officer, ENSI
Garth HowardChief Information Officer, ENSI
SUCCESS STORY
THE ARCHIVING PLATFORMEMAIL IM SOCIAL MOBILE WEB
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