Best-in-Class Communications Platform Drives Process Automation, Regulatory Compliance | Financial Services

5/14/2023 RRD

Best-in-Class Communications Platform Drives Process Automation, Regulatory Compliance | Financial Services

Self-service portal and process optimization drastically reduce time to market and ensure SEC and ADA compliance 


A leading bank with an extensive wealth management arm sought a replacement for their manual means of processing client plan documents. Under their current process, the contents of their retirement services kits and customer communications were at risk of regulatory compliance failure due to critical timing regulations involving document delivery. 

Changing the way these documents were processed would not only mitigate these risks but would also present an opportunity to improve the customer experience by enabling document delivery based on client preference — e.g., printed direct mail, downloadable PDF from a portal, or email. Updated processing would also enable the client to monitor document creation throughout the document life cycle.  

However, the bank did not have the in-house technology necessary to modernize document delivery or add scale to its operations. In order to achieve these goals, they would need an external partner to deploy an automated, turnkey set of solutions that could ensure accuracy, data integrity, and resource efficiency.


An existing relationship with RRD led the bank to trust them as an established, qualified digital transformation partner. RRD created a custom collection of technologies and solutions to facilitate capabilities the bank did not possess internally.

RRD introduced time-saving tools to centralize project and data management for documents delivered to retirement plan participants, including fund change notices and plan highlights. These RRD tools included:

  • ConnectOne™ by RRD, an end-to-end communication optimization platform, made omnichannel delivery a reality and enabled RRD to receive, maintain, and store massive amounts of plan/participant data on behalf of the bank.
  • ConnectOne Storefront?, a proprietary web-to-print platform, simplified and automated the change management process and decreased the window of time needed to execute plan document changes — all from a secure, easy, SSO-integrated online customer portal.
  • RRD PIVOT, a client portal, enabled access to job- and piece-level tracking including USPS IMb, plus document storage for customer service and SEC-compliant storage.  Additionally, PIVOT provided access to view the statuses of orders created in ConnectOne Storefront, facilitating all-channel delivery via bulk print, traditional mail, or email distribution. The portal also enabled secure document archiving in adherence to SEC requirements.  
  • RRD’s content management technology allowed business users to self-service changes within communications, which enabled the delivery of highly personalized content to mass audiences through multiple channels.

Additionally, RRD’s best-in-class IT project management team implemented these solutions in alignment with cross-functional client teams for further streamlining.


Strictly from an efficiency standpoint, RRD’s turnkey platform of solutions created the following time savings:

  • Reduced client onboarding time from 90-120 days to 15-20 days
  • Reduced implementation of annual regulatory document changes down to 15 days
  • Reduced change management process time by over 84%, from 45 days to 7 days

As gained efficiencies led to cost savings, additional outcomes from this project included assurances for ongoing regulatory compliance along with real-time monitoring of document production and delivery.

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