Overview
Regulated firms are required to capture and supervise business communications — but employees now talk to clients on WhatsApp, Signal, iMessage, and Slack as much as on email. Every unmonitored channel is a regulatory exposure, and regulators have issued significant fines for off-channel communications.
Comma Compliance gives financial services, healthcare, and government organizations one place to capture, supervise, and investigate those conversations. AwaitSol engineered the platform with Ruby on Rails and Python.
The Challenge
Coverage was the first problem. Each messaging platform has its own formats, APIs, and quirks, and all of it had to be captured completely and reliably into a single, searchable archive — at the volume of an entire organization's communications.
Supervision was the second. Compliance teams can't read every message, so the platform had to surface the conversations that actually need review — potential policy breaches — while producing records that stand up to regulatory examination under SEC 17a-4 and FINRA 4511.
Our Approach
We built connectors for 40+ channels that normalize every message into a unified archive, with background processing on Sidekiq and Redis so ingestion keeps pace with high message volumes, and PostgreSQL as the system of record.
Python services analyze captured conversations and flag likely policy breaches for review, turning supervision from reading everything into reviewing what matters.
Around the archive we built search, timelines, and e-discovery tools so investigators can reconstruct a conversation across channels, plus exports designed for regulatory exams.
What We Built
Comma Compliance turns fragmented messaging into a single supervised record: every channel captured, likely breaches flagged automatically, and exam-ready archives available on demand.
- Capture connectors for 40+ communication channels
- Unified, searchable communications archive
- Automated policy-breach flagging
- Search, timeline, and e-discovery tools
- SEC 17a-4 / FINRA 4511 exam-ready record exports
Key Results
Compliance teams supervise every channel employees actually use, review the conversations that matter instead of everything, and walk into regulatory exams with complete, organized records.
Technology
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