Managing Off-Channel Communications Risk

A practical guide to strengthening governance and supervision across your firm

For large and complex financial services firms, communications oversight is now a governance issue, not just a compliance checkbox. Regulators expect centralized, consistent supervision across every business unit, region, and platform.

This guide outlines key regulatory expectations, common risk areas for distributed firms, and best practices for building scalable oversight.

What You’ll Learn:

• Oversight challenges for complex, multi-entity organizations

• Why vendor sprawl and fragmented systems create exam risk

• Best practices for centralized review and escalation

• How to future-proof oversight for mobile and messaging apps