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Call Recording Compliance Checklist

IR Media

Written by IR Media


IR Prognosis Call Recording Assurance

Many banking and finance organizations record calls made as part of day-to-day business operations. These calls are subject to a number of rules and regulations that differ between jurisdictions. How do you know which rules you fall under and how can you be confident you comply?

There are a number of things you can do to ensure you and your organization have the right tools and processes in place. This checklist will help highlight some of the critical areas in call recording compliance.

Download a PDF copy of the Call Recording Compliance Checklist

Get friendly with the Details

Research relevant laws and regulations in both your country and countries your organization operates in.

  • What are the laws and regulations in your home country around call recording?

  • Look at other countries your organization operates in. Are there regulations governing call recordings that occur in those geographies, eg MiFID II in the EU, Dodd-Frank in the US.

  • Do the laws govern recording of calls, storage of calls or both?

  • Are there any requirements to provide details around the quality of calls and how they are stored?


Plan out the different touch points and needs along the customer journey.

  • Is the need for call recording departmental or organization-wide? Does each department have the same requirements or do they differ?

  • Create customer journey maps for each department in which calls are required to be recorded. Are there specific touch points in which the calls must be recorded?

  • What stakeholders need to be involved in the process?

  • Are there existing company policies that will need to be updated (both internal and external)?

  • What is the timeline for completing relevant changes?

Assess your Current Infrastructure

Network capacity and connection speeds could impact the quality of call recordings. Assess your current and future infrastructure needs.

  • Does your current call recording storage have enough capacity or will you need additional?

  • Can your current call recording supplier meet any new increased demands?

  • Are there any infrastructure or technology changes that need to be implemented?

  • How will you monitor whether calls have been correctly recorded and stored?

  • How will you monitor whether recorded calls are audible?

  • Conduct tests to ensure your network, storage capacity, call recording and monitoring tools are fit for purpose.

Roles, Resources & Responsibilities

Define the roles responsible for call recording compliance and how they fit into your organization

  • Who will be responsible for ensuring call recording compliance at your organization? Will this role be internal or external?

  • Who will be responsible for reviewing and maintaining call recordings? What tools and systems will they need access to?

  • How will these new roles impact other areas of the business now and in the future? Will they be responsible across the entire organization or will each department need their own?

  • Articulate clear reporting lines.

  • Re-evaluate team structures to ensure call recording compliance is adhered to.

Monitor your Recordings

Provide ongoing support, refine tools and processes, and gauge progress.

  • Have you outlined how call recording compliance will be monitored and maintained?

  • Do you have the correct technology to check all required calls are recorded, audible and intelligible?

  • Have you outlined a compliance breach procedure? 

  • Do you have the ability to deploy early warning systems to notify responsible personnel of issues?

  • Are alert mechanisms setup to identify breaches? Who will be notified in the event of a compliance breach?

  • Have you put together an action plan that outlines how a breach will be rectified?

Prognosis Call Recording Assurance verifies every call required to be recorded for legislation and regulatory purposes is recorded. Through Media Integrity it checks whether the media file contains audible content.

Download a PDF copy of the Call Recording Compliance Checklist

Topics: Alert automation Performance management UCaaS management Voice system testing High availability Operational costs Real-time monitoring Cisco Avaya

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