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Control 1.10: Communication Compliance Monitoring - Portal Walkthrough

This playbook provides portal configuration guidance for Control 1.10.

Prerequisites

  • Microsoft 365 E5 or E5 Compliance add-on
  • Communication Compliance roles assigned
  • Compliance reviewers identified and trained
  • Detection scenarios defined

Step 1: Assign Communication Compliance Roles

Portal Path: Microsoft Purview > Permissions > Microsoft Purview solutions > Roles

  1. Navigate to Purview Compliance Portal
  2. Go to Permissions > Microsoft Purview solutions > Roles
  3. Assign roles:
Role Purpose Assign To
Communication Compliance Admin Full policy management Compliance team leads
Communication Compliance Analyst Review and triage alerts Compliance analysts
Communication Compliance Investigator Investigate and remediate Senior compliance
Communication Compliance Viewer Read-only access Audit team

Step 2: Create Communication Compliance Policies

Portal Path: Purview > Communication compliance > Policies > + Create policy

Policy 1: Agent Inappropriate Content Detection

  1. Navigate to Communication compliance > Policies
  2. Click + Create policy
  3. Template: Detect inappropriate content
  4. Policy name: FSI-Agent-InappropriateContent
  5. Users and groups: Select users who interact with agents
  6. Locations:
  7. Teams chat (if agents use Teams)
  8. Copilot for Microsoft 365 (if available)
  9. Exchange email (for email-based agents)
  10. Conditions:
  11. Detect threats and harassment
  12. Detect discrimination
  13. Detect profanity
  14. Review frequency: Ongoing monitoring
  15. Reviewers: Assign compliance analysts
  16. Click Create policy

Policy 2: Financial Regulatory Violations

  1. Click + Create policy
  2. Template: Custom policy
  3. Policy name: FSI-Agent-RegulatoryViolations
  4. Users: All users with agent access
  5. Locations: All applicable channels
  6. Conditions - Sensitive information:
  7. Custom SIT: MNPI Indicators
  8. Custom SIT: Unsuitable Investment Recommendations
  9. Financial data patterns
  10. Conditions - Keywords:
  11. "guaranteed return", "risk free", "can't lose"
  12. "inside information", "before announcement"
  13. "don't tell anyone", "keep this quiet"
  14. Direction: Inbound and outbound
  15. Reviewers: Compliance (primary) + Legal (escalation)
  16. Click Create policy

Policy 3: Customer Data Protection

  1. Click + Create policy
  2. Template: Detect sensitive information
  3. Policy name: FSI-Agent-CustomerDataProtection
  4. Users: All agent users
  5. Conditions - Sensitive information types:
  6. Credit card numbers
  7. Social Security numbers
  8. Bank account numbers
  9. Custom: Customer account numbers
  10. Threshold: Start with low for initial tuning
  11. Direction: Outbound (agent responses)
  12. Reviewers: Data protection team
  13. Click Create policy

Policy 4: Conflict of Interest Detection

  1. Click + Create policy
  2. Template: Custom policy
  3. Policy name: FSI-Agent-ConflictOfInterest
  4. Conditions - Keywords:
  5. "my personal account", "trade for myself"
  6. "front running", "before the client"
  7. "proprietary trading", "house account"
  8. Reviewers: Compliance + Ethics
  9. Click Create policy

Step 3: Configure Detection Classifiers

Portal Path: Purview > Communication compliance > Settings > Classifiers

  1. Go to Settings > Classifiers
  2. Enable relevant trainable classifiers:
  3. Threats
  4. Harassment
  5. Discrimination
  6. Adult content
  7. Profanity
  8. Regulatory collusion (if available)
  9. Gifts & entertainment (if available)

Step 4: Set Up OCR for Image Detection

Portal Path: Purview > Communication compliance > Settings > OCR

  1. Go to Settings > OCR
  2. Enable OCR for communication compliance
  3. Configure:
  4. Process images in Teams
  5. Process attachments
  6. Apply SIT detection to OCR text

Step 5: Configure Priority User Groups

Portal Path: Purview > Communication compliance > Settings > Priority user groups

  1. Create priority groups:
  2. Group 1: Registered representatives
  3. Group 2: Investment advisers
  4. Group 3: Executives

  5. Group 4: IT administrators with agent access

  6. Configure alert routing:

  7. High severity: Immediate email + Teams notification
  8. Medium severity: Daily digest
  9. Low severity: Weekly review queue

Step 6: Create Review Workflow

Portal Path: Purview > Communication compliance > Alerts

  1. Navigate to Alerts tab
  2. For each policy, configure:
  3. Initial review: Analyst triage (24 hours)
  4. Escalation: Investigator (if confirmed)

  5. Remediation options:

    • Resolve (no violation)
    • Escalate to HR/Legal
    • Remediation required

  6. Review workflow:

  7. Alert Generated > Analyst Review (24h)
  8. Confirmed Violation? No > Resolve + Document
  9. Confirmed Violation? Yes > Escalate to Investigator
  10. Investigation (48h) > Remediation Action

Validation

After completing the configuration, verify:

  1. Communication Compliance roles assigned to appropriate users (Admin, Analyst, Investigator, Viewer)
  2. At least one policy created and enabled (Inappropriate Content, Regulatory Violations, or Customer Data)
  3. Trainable classifiers enabled in Settings > Classifiers
  4. Priority user groups configured with alert routing rules

Expected Result: Communication Compliance policies monitor agent interactions and generate alerts for review in the Alerts queue.

Back to Control 1.10 | PowerShell Setup | Verification Testing | Troubleshooting

Updated: January 2026 | Version: v1.2