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Case Studies / Quality Monitoring

Compliance Monitoring Allows Leading Financial Services Firm to Achieve 16% Compliance Improvement within One Year

Financial Services


  • Financial Services firms face increasing Federal regulatory requirements. Non-compliance creates significant financial risk, while compliance creates real operational challenges, especially for Customer Service organizations that interact directly with consumers.
  • Northridge has a comprehensive Compliance Monitoring offering for Financial Services firms.
  • We designed and implemented a compliance monitoring program specific to the regulations that create the greatest risk for our client.


  • Over this 7-month period, compliance-based violations have decreased by more than 16% overall.
  • Northridge Quality Monitoring reported all calls that failed in compliance areas that have become grounds for legal issues in the past for competing companies:
    • Call recording notification
    • Customer verification
    • Advised of restrictions/penalties
    • Advised of seating
    • Travel requirements
    • Summarize, including cancellations

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