Intermedia for Financial Services

Intermedia offers archiving, legal hold, and tamper-evident storage designed to support financial services compliance with SEC Rule 17a-4, FINRA recordkeeping rules, and global privacy regulations like GDPR. Communication records are preserved in line with retention requirements and easily accessible during audits.

Intermedia employs a multi-layered approach to protect client and transaction data:

• Encryption: AES 256-bit encryption at rest and TLS encryption in transit secure calls, meetings, messages, and stored records.
• Certified security practices: SOC 2 and ISO 27001 audits validate strong internal controls and cloud security processes.
• Role-based access controls: Firms can restrict access by role or department and monitor login activity to mitigate insider and external threats.

Financial institutions face strict retention requirements under SEC, FINRA, and GDPR. Intermedia helps firms meet these obligations with tamper-evident archiving and secure backup across all communication channels.

• For banks and credit unions: Archiving captures calls, emails, SMS, and chat in a secure, searchable system with legal hold capabilities. This supports audits, eDiscovery, and regulatory reviews without the cost of third-party vendors. Backup ensures transaction and client records remain available even after service disruptions
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• For wealth management firms: Advisors benefit from automatic call and meeting history tracking, making it easier to tie communications to client portfolios, document advice, and demonstrate compliance. Archiving simplifies audits while reducing the administrative burden on small teams.

Intermedia provides financial institutions with an integrated archive and backup solution that reduces compliance risk, streamlines audits, and lowers reliance on external providers.

Yes. Intermedia integrates with Salesforce, Microsoft Dynamics, and other financial CRMs and ERPs. These integrations surface account details during calls, automate activity logging, and reduce time spent on manual data entry—helping advisors improve client service efficiency.

A phone system for financial services must do more than connect calls — it must protect client trust, support compliance, and enhance the customer experience.

• For banks and credit unions:
  • Secure UCaaS foundation with encryption and role-based access.
  • Contact Center features like intelligent call routing, queue callbacks, and omnichannel support to improve customer satisfaction and reduce wait times.
  • AI Agent Assist for frontline staff, providing real-time guidance on disclosures and product details.
  • AI Supervisor Assist for managers, offering sentiment analysis and live coaching to improve service quality.

• For wealth management firms:
  • Unite UCaaS platform with secure calling, messaging, meetings, and file sharing.
  • Call recording and archiving to support compliance and client documentation.
  • AI Meeting Recap and AI Assistant to summarize client conversations, track follow-ups, and save time on administrative work.
  • Mobile and desktop apps so advisors can securely serve clients from anywhere while maintaining a single business identity.

Bottom line: Financial services firms need a phone system that combines security, compliance, and AI-driven tools to reduce risk, improve client experience, and free staff to focus on high-value client relationships.

Banks and credit unions face unique cost pressures — from compliance requirements to the need to deliver a strong customer experience across branches. Intermedia helps lower those costs by improving efficiency and reducing reliance on costly infrastructure.

• Customer experience at scale: Intelligent call routing, queue callbacks, and omnichannel support reduce wait times and abandoned calls, allowing fewer staff to handle higher interaction volumes.
• AI-driven performance and training: AI Supervisor Assist helps managers coach staff in real time, while AI Agent Assist reduces onboarding costs and accelerates new hire productivity.
• Compliance made simpler: Built-in archiving across calls, SMS, chat, and email supports SEC and FINRA retention requirements, eliminating the expense of third-party solutions.
• Reduced infrastructure costs: With 99.999% uptime, geo-redundant data centers, and cloud-based recovery, banks avoid maintaining expensive on-premise disaster recovery systems.
• Flexible staffing models: Contact Center enables remote or shared staffing across multiple branches, reducing overstaffing costs while maintaining high service levels.

Intermedia enables secure remote and hybrid work for financial institutions to maintain compliance and client trust while giving staff the flexibility to work from anywhere.

• For branch staff and tellers: Unite mobile and desktop apps let staff securely handle calls, voicemail, and client messages without exposing personal numbers. Encryption (TLS in transit, AES-256 at rest) ensures sensitive client data remains protected, even when accessed remotely.
• For advisors and wealth managers: Advisors can join secure video meetings, share files, and document conversations with AI Meeting Recap and AI Assistant, reducing manual note-taking and helping them keep accurate client records. Call and meeting history tracking makes it easier to tie interactions back to portfolios for compliance and billing.
• For contact center agents (banks & credit unions): Agents working remotely use Contact Center tools like intelligent call routing, omnichannel engagement (voice, chat, SMS, email), and screen pops to provide the same level of service as in-branch staff. AI Agent Assist offers real-time guidance on disclosures, account questions, or compliance scripts, while archiving ensures every interaction is securely captured.
• For supervisors and compliance officers: Managers use AI Supervisor Assist and live dashboards to monitor agent sentiment, call activity, and compliance in real time, even across distributed teams. Role-based access controls ensure only authorized staff access sensitive financial data.

To summarize what’s been shared previously financial institutions benefit from:

• SOC 2 / SOC 3 independent audits, confirming strong internal controls for security, availability, and confidentiality.
• ISO 27001 certification, validating that our information security management system follows global best practices.
• GDPR and CCPA alignment, supporting institutions that operate under strict privacy requirements.
• SEC and FINRA support, with archiving features such as tamper-evident retention, legal hold, and advanced search to meet recordkeeping obligations.