Case Study: Financial Services Firm achieves faster, more accurate compliance reviews and time savings with Proofpoint

Financial Services Innovator Saves Time and Meets Demanding Compliance Requirements With Proofpoint

This diversified financial services firm—covering broker‑dealer services and actively managed alternative investments for clients in the U.S. and U.K.—faced stringent regulatory requirements (FINRA, SEC, IIROC) and growing digital channels. With more than 1,400 employees, the company struggled with manual retention and supervision processes, frequent policy updates, and a compliance team that required 20 reviewers and two administrators to keep pace.

The firm upgraded its legacy environment with Proofpoint Enterprise Archive and Proofpoint Intelligent Supervision, supported by Proofpoint Professional Services, to centralize multi‑channel communications, implement configurable supervisory rules, and automate message routing. The new solution improved search and e‑discovery performance, reduced false positives and manual review effort, sped detection of compliance violations, and delivered scalable, audit‑ready retention and reporting.