CRM & Email

How we Helped a Leading Financial Service Firm Achieve Reliable Tracking and Compliance of Outbound Email Communications

company overview
  • Been in business for over 40 years
  • Provides investing and trading services for around 11 million client accounts
  • Makes Wall Street accessible to individual investors and delivers access to education, resources, and services to customers
Omaha, NE
Working with SPAR since
TD Ameritrade
SPAR  by Numbers



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Metric 3
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  • Needed a solution to track all email communications in Archival solution to meet compliance and audit requirements
  • Outbound emails generated from CRM application had to be intercepted before messages left mail servers
  • Tracking information needed for supervision and audits was not readily available
  • Needed to make sure that solution would not expose sensitive information to external customers
  • It was also required to ensure efficiency for reviews and audit activities across different regions
  • Conducted multiple sessions with various teams to understand the functions and operations thoroughly
  • Analyzed processes to identify technology & application constraints, and to evaluate solution options
  • Developed solution architecture to ensure alignment between IT teams and business units on solution strategy
  • Integrated CRM platform, corporate IdM platform, email infrastructure, and compliance systems
  • Achieved reliable tracking and compliance of outbound email communications
  • Were able to intercept outbound emails, administer tracking information, and mask sensitive information
  • All outbound email messages were archived in a compliance platform
  • The efficiency of compliance and audit search requirements improved tremendously

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