Fortune 500 financial client relies on Gryphon Networks compliance capabilities to protect brand reputation with high net worth clients and honor contact preferences.


This Fortune 500 financial client is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a diversified client base including corporations, financial institutions, governments and individuals. The firm was looking for a compliant way for its financial advisors to make marketing and sales phone calls that would protect their brand and stay in compliance with all related regulatory requirements.

With the FTC levying substantial civil penalties for violations of these regulations, such as honoring Do Not Contact (DNC) requests, plus the threat of consumer backlash, lawsuits, and the potential for injunctions on future marketing activities, the exposure of not capturing and respecting consumer contact preferences is too high not to invest in proven solutions. In addition, the firm has many high net worth clients that it chooses not to make available for new financial advisors to contact. These types of campaign or contact-specific rules are important for the client to automate to ensure consistent compliance. That said, managers still need a way to train new financial advisors and have them make outbound calls to consumer prospects to get more proficient at their jobs.


The client selected the Gryphon ONE call center compliance software, which includes built in call center compliance features that align with the firm’s goals. Gryphon’s indemnified sales call compliance capabilities enable sales and marketing contacts while adhering to all related regulatory requirements, protecting the brand’s reputation, and adhering to contact rules around high net worth clients using Gryphon’s restriction capabilities. Each year a new class of financial advisors is trained on the Gryphon platform and management is able to ensure the firm is protected, audit the activities and results, and interact with the calling data through dynamic, interactive dashboards to improve sales performance through insight-based coaching.


The client has been working with Gryphon since 2003. This relationship has resulted in the firm being able to run their business more effectively, driving new business, and protecting its brand from reputation and compliance violation risk. Since working with Gryphon, the client has not experienced a single compliance violation related to outbound marketing or sales contact activities.

This Fortune 500 financial client wants its customers to know that their consumer data and contact preferences are used responsibly and to their specifications. They are committed to its customers’ privacy and protecting personal information. Likewise, Gryphon supports these same values.

call center compliance software