AdvisorMail provides a two-tier architecture. This feature gives a corporate compliance department the ability to manage and delegate compliance responsibilities across multiple geographical, functional, and departmental distributed compliance departments. The following diagram illustrates this architecture:
The top tier is the Corporate tier. Only one Corporate office per AdvisorMail customer is allowed. The bottom or 2nd tier is the Office tier. You can create as many Offices as you like in this tier. This architecture enables the corporate office to distribute the email monitoring workload to the 2nd tier offices as required. The corporate compliance department has the flexibility to customize AdvisorMail to meet the needs of the organization.
The corporate office can:
Create an office for every satellite compliance department, and OSJ.
Create, edit, and delete auditor accounts for an office.
Control whether the auditors in an office can create office-specific keyword or phrase compliance rules.
Assign any domain name or email address to any office for email compliance monitoring.
Create keyword, or phrase compliance rules that apply to all offices.
Approve or reject the emails that are reassigned to corporate from an office.
An office can:
Create keyword or phrase rules specific to their office.
Re-assign an email to a corporate auditor for review and final approval or rejection
Table: Key differences between the tiers
Function
Corporate
Office
Reviewing emails
A Corporate auditor can review all emails that are archived in the Corporate office.
If a Corporate auditor has access to the 2nd tier, they can log directly into an office from the Offices page and review office emails.
An Office auditor can review all emails that are archived in the Office.
An Office auditor has NO access to emails that are archived in any other office including the Corporate office.
Email Workflow
A Corporate auditor can reassign emails with violations to any other Corporate auditor for review.
When a Corporate auditor reviews an email reassigned 'upward' from an Office, the email is permanently moved from the Corporate archive to the Office archive.
An Office auditor can reassign emails with violations to any other Office auditor for review as well as any Corporate Auditor for review.
When an Office auditor reassigns emails 'upward' to a Corporate Auditor, the email is moved from the Office archive to the Corporate archive.
Office Navigation
Corporate auditors can navigate to the Offices page and log directly into an office.
The Offices page is not available in offices.
Compliance Rules - Keyword and Phrases and Attachments
Compliance Rules are applied to emails that are archived in the Corporate office.
Corporate auditors with access to the 2nd tier, can log into an office from the Offices page and edit compliance rules specific to that office.
By default, Compliance Rules are applied to emails that are archived in every office.
Offices also can create Compliance Rules specific to the office.
Upcoming Feature: Corporate auditors can control whether Corporate Compliance Rules apply to an office or not.
Compliance Rules - whitelist Editor and Inbound Address Editor
Corporate Whitelist Rules and Inbound Address Rules are applied to email that are archived in the Corporate office.
A Propagate feature allows a Corporate auditor to push all Corporate Inbound Address rules to all offices.
Office Whitelist Rules and Inbound Address Rules are applied to email that are archived in the office.
Compliance Rules - Outbound Address Editor
Corporate Auditors can add/edit/activate/deactivate Corporate and Office email addresses.
Corporate Auditors can move email addresses and domains from office to office
Office Auditors can edit and deactivate email addresses specific to their office.
Auditors
Corporate auditors can be created so that they can only access the Corporate office or can also access 2nd tier offices.
If a Corporate auditor has access to the 2nd tier, they can log into an office from the Offices page. They can create and edit auditor accounts specific to the office.
An Office Administrator can create additional auditor accounts specific to the office.
Reports
The Corporate System Administrator has access to reports that cover the entire organization.
Corporate Auditors do not have access to reports
Office Auditors do not have access to reports
Data Requests
The Corporate System Administrator has access to create, download, and request shipping of data requests.
Corporate Auditors do not have access to data requests.
Office Auditors do not have access to data requests.
Preferences
Preferences are auditor-specific. A Corporate auditor's preferences apply when they log into Corporate and when they log into an office from the Offices page.
Preferences are auditor-specific. An Office auditor's preferences apply when they log into the Office.
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