Voice Recording Compliance

Moraph resells, implements and runs Verint's financial compliance recording platform for your trading floor. Verint captures turret, desk phone and mobile calls, timestamps and indexes them, and keeps them under your retention rules; Moraph configures it to the regulations that apply to you, watches that every in-scope line is actually being recorded, and handles changes, access reviews and service reporting. Your compliance team decides who is recorded, how long recordings are kept and who may listen to them.

The problem it solves

Firms that must record trading conversations usually discover gaps only when they go looking for a call: a new trader whose line was never added to the recording policy, a mobile device that was not enrolled, a turret upgrade that quietly stopped capture on one channel. Recording platforms need constant attention from people who understand both the telephony and the rules, and that work tends to fall between the telephony team, IT and compliance. When an examiner or a legal matter asks for a set of calls, retrieval, retention evidence and proof of completeness are assembled by hand.

Who it’s for

• Compliance officers at broker-dealers, futures commission merchants, swap dealers and banks with trading desks
• Trading floor supervisors who review calls as part of supervision
• Legal and eDiscovery teams who retrieve and preserve recordings
• Telephony and IT teams who run trader turrets, desk phones and mobile devices
• Internal audit and examiners who test recordkeeping

1. CaptureVerint records the turret, desk phone and mobile lines in your recording policy. Moraph connects each source, maps lines to people, and confirms that capture is working before a line is treated as in scope.
2. MonitorMoraph's follow-the-sun operations team watches the platform's capture health and the coverage of your recording policy, and works each alert through to a recorded outcome.
3. Retrieve and preserveAuthorized reviewers search recordings by user, line, time and call metadata and play them back in Verint. Legal holds suspend deletion for the recordings that a matter needs.
4. GovernChanges to who is recorded, how long recordings are kept and who may listen go through a change request your compliance officer approves. Moraph reports on the service every month and supports periodic access reviews.

Turret, desk and mobile capture

Verint records the trader turrets, desk phones and enrolled mobile lines in your recording policy, with each call linked to the person and line.

Timestamps and call metadata

Verint stores each recording with its start and end time, line, user and call details, so calls can be found and placed in sequence.

Search and playback

Authorized users search by person, desk, line, date and time and play recordings back in Verint, with every playback logged.

Transcription

Where you license it, Verint transcribes recordings so reviewers can search and read calls as well as listen to them.

Retention rules

Retention periods are configured in Verint for each recording population to match your record-retention schedule, with deletion only at the end of the period.

Legal holds

Recordings needed for a matter are held from deletion until legal releases them, and every hold is recorded.

Coverage monitoring

Moraph compares who is being recorded with your recording policy and your joiner and leaver records, and reports gaps to your compliance officer.

Capture health alerts

Failed or silent channels, storage issues and integration errors raise alerts that Moraph's operations team triages and follows through.

Joiner, mover and leaver changes

New traders, desk moves and departures go through a change request, so recording starts and access ends on the dates your compliance team approves.

Access reviews

Moraph prepares lists of who can search, play back and export recordings, for your compliance officer to certify or correct.

Configuration baseline

Moraph keeps a documented baseline of recording policies, retention rules and access roles, and checks the live platform against it.

Monthly service review

A regular review of coverage, alerts, incidents, changes and open risks with your compliance and telephony leads.

Compliance officer

Owns the recording policy, approves retention, access and exports, and receives coverage reports

Supervisory reviewer

Searches and plays back calls for the desks they supervise and records review notes

Legal and eDiscovery

Retrieves recordings for matters, places and releases legal holds, and requests exports

Telephony and IT administrator

Runs turrets, phones and mobile devices, raises joiner and leaver changes, and manages users

Moraph service team

Configures and monitors the platform, triages alerts and applies approved changes, without listening to recordings

Auditor or examiner (read-only)

Reviews recordings, policies, reports and the audit trail within the scope granted

Trader voice turrets

Turret systems on your trading floor are connected to Verint for recording, with lines and handsets mapped to users.

Desk and unified communications telephony

Desk phones and supported unified communications platforms are connected for recording where they are in your policy.

Mobile recording

Enrolled mobile devices or carrier-based recording services supported by Verint are connected so business calls on mobiles are captured.

HR and directory

Joiner, mover and leaver records are compared with the recording policy so coverage follows staff changes.

Single sign-on

Users sign in through your identity provider (SAML or OpenID Connect), with roles following its groups where supported.

Archiving and surveillance

Recordings and metadata can be made available to your communications archive or surveillance tools, including Moraph's Trade Surveillance & Market Abuse Monitor.

Moraph service portal

Change requests, incidents, alerts and service reports are tracked in Moraph's service portal and available through the Moraph Work API.

Single sign-on

Your staff and Moraph's engineers sign in through identity providers with multi-factor authentication, so your access policies apply.

Role-based access

Who can search, play back and export recordings follows their role and scope; administering the platform is separate from listening to it.

No routine access to content

Moraph staff cannot listen to, read or export recordings without your explicit, time-bound authorization, and keys are handled on the same basis.

Complete audit trail

Searches, playbacks, exports, holds and configuration changes are logged with the person and time.

Data residency

Recordings stay in the hosting region agreed for your deployment; Moraph-hosted components run in the United States, United Kingdom or Australia.

Controlled changes

Configuration changes and Verint updates are tested before they are applied, and Moraph-built connectors pass its security testing gates and carry a software bill of materials.

Verint cloud, run by Moraph

Verint's hosted service, licensed through Moraph and configured and operated by Moraph's team.

In your environment

Verint installed in your data center or cloud account, with Moraph operating it under agreed remote access.

Co-managed

Your team keeps some administration, such as user changes, and Moraph runs monitoring, configuration and service reporting.

Recording policy

We work with your compliance team to list the people, desks and lines that must be recorded and the rules that apply to each, and agree retention by recording population.

Source integration

Turrets, desk telephony and mobile sources are connected to Verint. We need contacts from your telephony and mobile teams and access to their systems in agreed windows.

Configuration baseline

Recording policies, metadata, retention rules, roles and integrations are configured and written down as the baseline your compliance officer approves.

Capture verification

Test calls are made on each in-scope line and device, and the results are kept as evidence that capture works.

Migration of existing recordings

Where you are replacing a recording system, existing recordings and their metadata are migrated or kept accessible under their retention, by agreement.

Handover to service

Coverage monitoring, alerting, change requests and reporting start, and reviewers, legal and administrators are trained on their own tasks.

• Moraph is not the vendor. Verint owns the platform, and Verint's own service commitments, roadmap and outages apply.
• Licences are subject to Verint's terms, which you accept as part of the agreement.
• Moraph can only monitor the lines and devices you tell us are in scope. Deciding who must be recorded is your compliance team's decision.
• Recording depends on your telephony, network and mobile setup. Calls made on unenrolled devices or unapproved channels are not captured.
• Moraph does not review calls for misconduct. Supervision and surveillance remain your responsibility, though recordings can feed tools that support them.
• Transcription accuracy varies with audio quality, accents and trading jargon, and transcripts do not replace the recording.
• Whether a recording gap must be reported to a regulator is your decision. Moraph reports the gap and its affected period to you.
• Text, chat and email archiving is not included; see Communication Archiving.

• List the desks, lines and mobile devices you must record and ask how each would be connected and verified
• Ask to see a sample coverage report and how a gap is reported to compliance
• Walk through a joiner change from request to verified recording
• Review how Moraph staff are kept away from recording content and how exceptions are authorized
• Check the responsibilities table against your own operating model
• Retrieve and export a sample of recordings and review the approvals and logs it produces