Why do financial services teams need a compliant contact center?

Financial services companies face strict regulations — MiFID II, FINRA, Dodd-Frank — that require call recording, data retention, and full audit trails. A non-compliant platform creates regulatory exposure on every customer interaction.

Does Softtop support PCI DSS compliance for financial calls?

Yes. Softtop can automatically pause recording and redact card data from transcripts during payment processing, helping meet PCI DSS requirements without manual agent intervention on every call.

Is full call recording and retention included?

Yes. All calls are recorded, encrypted, and stored with configurable retention up to 7 years. Recordings are keyword-searchable and fully accessible for compliance audits and regulatory review.

How does STIR/SHAKEN protect financial services outbound calls?

STIR/SHAKEN attestation verifies your caller ID at the carrier level so client calls display correctly and are never marked as spam — particularly important for outbound advisor and collections communication.

Can it integrate with financial services CRMs?

Yes. Softtop integrates with Salesforce Financial Services Cloud, HubSpot, and Zoho CRM natively, and supports custom webhooks for bespoke financial platform integrations.

FINANCIAL SERVICES

A calling stack compliance trusts.

Call recording. STIR/SHAKEN. Sentiment routing. SOC 2, PCI, and FINRA-ready audit.

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SOC 2PCIFINRA READYSTIR/SHAKEN7-YEAR RETENTION

COMPLIANCE MONITOR · LIVE

FINRASOC 2

Recording · Parity Finance · Agent: Sara M.PCI MODE

▶"…let me pull up your account details…"

✓

STIR/SHAKEN · A-level attestation

ATTESTED

✓

PCI DTMF capture + redaction

ACTIVE

✓

DNC scrub · real-time

CLEAR

✓

SOC 2 · audit log streaming

1.2M

RECORDED

7yr

RETENTION

100%

DTMF REDACT

COMPLIANCE

Compliance that ships by default.

PCI

Full call recording with PCI redaction

Card numbers, CVVs, and expirations redact automatically from audio and transcript. Learn about our call recording feature.

FINRA

Retention up to 7 years

Configurable retention windows on higher tiers, per queue, per brand, per user. Meets FINRA rules for record retention.

STIR/SHAKEN

STIR/SHAKEN on every outbound call

A-level attestation through Tier-1 carriers. Spam-likely flagging drops noticeably.

TCPA

TCPA dialers with real-time DNC scrub

Predictive, power, and preview modes — every dial scrubbed against federal and state DNC.

SOC 2

SOC 2 Type II audited annually

Reports available under NDA for enterprise security reviews and procurement.

AI sentiment routing

Upset prospects and at-risk accounts route to a senior agent before they churn.

OUTBOUND

Outbound that actually gets answered.

Local caller ID plus full STIR/SHAKEN attestation reduces spam-likely flagging so your advisors actually reach prospects. Answer rates climb measurably in the first two weeks. See how our outbound dialer delivers these results.

STIR/SHAKEN A-levelLocal Caller IDPredictive Dialer

ANSWER RATE · 14 DAYS

+86%

Day 1 · 42%Day 14 · 78%

✓

Answer-rate lift after STIR/SHAKEN attestation

Typical result in first 2 weeks

REGULATORS

Built for the regulators finance teams answer to.

FINRA

FINRA-ready audit trail.

Every call recorded and time-stamped. FINRA exams become a filtered export.

Searchable archive

Supervisor logs

Time-stamped events

PCI

PCI redaction on card captures.

Card numbers and CVVs auto-redact from audio and transcript on PCI-aligned plans.

Audio redaction

Transcript redaction

DTMF capture

Compliance phrase detection.

AI flags missed disclosures in real time — coaching lands before the fine does.

Phrase flagging

Disclosure checks

Pre-fine coaching

CONVERSATION INTELLIGENCE

Conversation intelligence where it matters most.

Every call transcribed, searchable, and scored. Compliance reviews search for risky phrases across every recorded call in the archive. The data that used to live in 18 hours of unreviewed audio lives behind a filter bar. Works alongside our contact center.

Compliance Search · All calls347 HITS

"guarantee" OR "promise" OR "no risk"

Tom B. · 2 minRISK: HIGH

"...we can guarantee you 8% returns on that..."

Anita R. · 4 minRISK: HIGH

"...I promise it's no risk to you..."

Marcus L. · 1 minRISK: MED

"...this is a guaranteed return on..."

From compliance teams

Audit-ready, day one.

Wealth, lending, and capital markets teams already running on Softtop.

24h

Remediation

"AI transcripts and compliance phrase detection caught a disclosure issue on a Monday. We fixed the script Tuesday. Our auditor called it the cleanest remediation they had seen."

Daniel Okafor

VP Revenue, Parity Finance

FAQ

Finance, answered.

FINRA, recording retention, STIR/SHAKEN, PCI, and SOC 2 — the common ones.

Is FINRA audit supported?

−

Audit logs, recording retention, and supervisor controls are FINRA-ready. Work with your dedicated account team on rule-specific requirements.

How long can recordings be retained?

Up to 7 years on higher tiers. Retention policies configurable per queue, per brand, per user.

Is STIR/SHAKEN applied to outbound?

Yes. Full A-level attestation on every outbound US call. Answer rates typically improve meaningfully.

Is PCI capture supported?

Yes. DTMF card capture with automatic redaction on PCI-aligned plans. Full audio and transcript redaction included.

What about SOC 2 and ISO 27001?

SOC 2 Type II audited annually. ISO 27001 on the roadmap. Report access available to customers under NDA.

A calling stack compliance trusts.

14-day free trial. No credit card required.

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