Proactive Compliance
That Gets Ahead of Risk
Spot is built for regulated organisations.
It continuously monitors email and collaboration data using policy-driven rules and natural language analysis to detect potential compliance risks early, reduce false positives, and produce defensible audit evidence.
Spot is deployed inside the customer's Azure environment, ensuring data never leaves their control.
Manual compliance monitoring is increasingly ineffective in high-volume environments, based on industry surveys and regulatory enforcement summaries.
Average quarterly review time
Violations discovered too late
Average regulatory fine in 2024
Analysts spending weeks reviewing thousands of communications manually. By the time you find violations, the damage is done.
Different analysts applying policies differently. What gets flagged depends on who's reviewing and how tired they are.
Spreadsheet hell when regulators come knocking. No audit trail, no defensible process, just panic.
"We were spending more time documenting our compliance failures than actually preventing them." — Chief Compliance Officer, Fortune 500 Financial Firm
Compliance policies are only useful if they reflect the real-world risks your team faces. With Simply Discover, you can translate rules like FINRA 3110 or FCA SYSC 10A into practical, flexible policy sets that actually work.
How Spot Works
Spot supports both historical and ongoing communications, enabling continuous supervision as well as retrospective review.
Add keywords and phrases known to indicate risk, with exclusions to reduce noise
Create rules naturally with optional violation examples for added clarity
Match how real-world breaches show up in conversation with flexible policy sets
No more scattered alerts. Spot brings everything together in a single, streamlined view.
Use natural language analysis to detect contextual, implied, or veiled compliance risks that keyword-only systems commonly miss, with explainable evidence for every flag.
Quickly classify each message as Compliant, Non-Compliant, or Flagged for Review
Speed up workflows with hotkey navigation and efficient screen design
See why something was flagged — with transparent rationale and evidence surfaced for each result
Spot — Proactive Compliance & Communications Surveillance is designed for regulated organisations that need continuous, explainable supervision of employee and client communications, including:
Financial services and broker-dealers
Firms operating under FCA, FINRA, or similar regulatory regimes
Compliance and surveillance teams managing high-volume email or collaboration data
Organisations that require communications data to remain inside their own Azure tenant
Meet FINRA Rule 3110 obligations with targeted, ongoing review of broker-dealer communications. Detect potential violations early and show evidence of active oversight.
Surface early indicators of insider trading and mishandled material non-public information (MNPI). Go beyond keywords to find veiled intent and subtle signals of risk.
Identify unbalanced risk/reward claims and misleading promotional language before they're published — or spread. Tailor policies to reflect your own standards or FCA expectations.
Cut through the noise in high-volume environments. Fine-tune exclusions and natural language rules to reduce alert fatigue and focus attention where it matters most.
Supervision needs to be visible, consistent, and explainable — especially when regulators come knocking.
View compliance performance by policy, rule, or mailbox with comprehensive tracking
Track message volumes, violation rates, and reviewer actions over time
Export reports in minutes — no manual collation needed. Everything's traceable and backed by rationale.
Built for regulated industries and complex environments, it helps compliance, surveillance, and supervisory teams uncover potential breaches in real time — even when the language is subtle, implied, or off-script.
Understand not just what's meant, not just said
Host everything within your Azure tenant, data doesn't leave your domain
Optimised UI with hotkey navigation to keep reviewers moving with clearly marked up evidence and rationale
Combine reactive investigations and proactive review in one place
"It's built for teams who need to move fast without cutting corners." — Simply Discover
Who Spot Is Best Suited For
Spot is best suited to regulated organisations that need continuous, defensible supervision of communications, where context, auditability, and data residency are critical.
Organisations looking for simple, SaaS-based keyword scanning without regulatory reporting or audit obligations may find lighter tools sufficient.
Spot helps you move from reactive to ready, detecting and managing communication risk as it happens, not weeks later. Use it alongside Simply Discover's eDiscovery engine to bring investigation, supervision, and governance under one roof.
30-day pilot program available. If you don't see dramatic improvement in your compliance workflow, we'll part as friends.