What we deliver for compliance and risk leaders
Audit trails and field history
Tracking on the records and fields that matter, with retention set to your policy.
Supervision and approval workflows
Review steps for marketing content, client communications, account changes and exceptions, with the reviewer and decision recorded.
Consent and privacy management
Opt-ins, opt-outs and lawful basis tracked by channel and region, including GDPR and UK GDPR for European contacts and TCPA for texts.
Access and data protection
Permission design, field-level security, encryption and monitoring sized to your risk profile.
AI supervision and recordkeeping
Rules for which AI tools can see client data, review of AI-drafted communications, and retention of prompts and outputs where required.
Data quality for reporting
Validation rules and cleanup so the data you report to regulators is complete and consistent.
What we see in compliance teams
Exam prep is a scramble
Evidence lives in inboxes, shared drives and people's memories, and pulling it together takes weeks.
The CRM was built without you
Fields, workflows and access were set up for sales speed, and compliance controls were added later or not at all.
Data you report on isn't reliable
Missing fields, duplicates and inconsistent values make regulatory reporting slow and risky.
AI is arriving faster than policy
Teams are using AI tools with client data before supervision and retention rules exist.
What examiners and auditors ask for
- Who accessed or changed a client record, and when.
- Proof that required approvals happened before an action was taken.
- Records of client communications, complaints and their resolution.
- Consent history for marketing contacts.
- How AI tools use client information and how their output is supervised.
We design the platform so each of these comes from a saved report.
Recent work that compliance teams care about
Team-specific case studies for compliance are in progress. These engagements show the data and process controls compliance depends on:
- $2B community bank serving the Dakotas: data errors cut from 50,000+ to 120. Client anonymized
- $30B+ independent RIA: 350% better data completeness and 95% adoption in 90 days.
- $2.25B community bank: 93% less manual data entry, which means fewer re-keying errors to catch.
Salesforce or HubSpot for compliance?
Salesforce offers the deepest controls: field history, Shield for encryption, field audit trail and event monitoring, detailed permission sets, and industry data models in Financial Services Cloud.
HubSpot has strengthened permissions, field-level access and audit logs, and connects to email and social archiving tools. It suits firms with simpler requirements and less customization.
Either way, the controls only work if they're designed in from the start. That's the part we focus on.
Compliance workflows that run in the CRM
Content review
Marketing submits an email for approval in the platform. The reviewer approves or comments, and the decision and version are stored with the asset.
Complaint handling
A service case flagged as a complaint follows its own path with required fields, escalation and deadlines, and reports by type and resolution.
Quarterly access review
Managers confirm access for their teams, and changes are logged for the audit file.
Exam request
Compliance runs saved reports for communications, approvals and record changes for the requested period, with no IT ticket needed.
What compliance and risk leaders should track
- Time to produce exam evidence: hours from request to complete response.
- Open exceptions: policy exceptions by type, age and owner.
- Review cycle time: days from submission to approval for supervised items.
- Data completeness: share of client records with required fields populated.
- Access findings: users with access beyond their role, found and fixed.
Your first four steps
- List what an examiner will ask for and trace where it lives today. This shows your gaps in an afternoon.
- Turn on field history for the records that matter. Start with client, account and ownership fields.
- Move one review process into the platform. Marketing content approval is usually the easiest start.
- Write the AI policy before AI tools reach client data. Cover approved tools, data access, review and retention.
Compliance in your industry
- Wealth management: SEC marketing rule review, books and records, and supervision of advisor communications.
- Banking: BSA/AML-related data quality and complaint management.
- Mortgage and lending: TRID and HMDA data accuracy and TCPA consent.
- Debt settlement: client consent, disclosures and communication records.
Compliance & risk: questions
Can Salesforce support SEC and FINRA recordkeeping?
Salesforce can capture and retain much of what you need, including field history, activity and approvals. Communications archiving usually runs through a dedicated archiving tool connected to the CRM. We design the combination with your compliance team.
How do you control AI use with client data?
We define which tools can access which data, keep access inside CRM permissions where possible, route AI-drafted client communications through review, and retain prompts and outputs where policy requires.
Do we need Salesforce Shield?
If you need platform encryption, long-term field audit history or detailed event monitoring, usually yes. Many firms meet their needs with standard field history and permissions. We'll recommend based on your requirements.
Can HubSpot meet our compliance needs?
For many mid-market firms, yes, with the right permission design and archiving integration. For complex supervision or heavy customization, Salesforce is usually the safer choice.
When should compliance get involved in a CRM project?
At design. Adding controls after go-live costs more and is harder to get adopted.