Seismic, an AI-based financial services platform, has launched Seismic Compliance, with new social functions, and announced a partnership with Theta Lake. The announcements are part of Seismic’s strategy to help financial institutions strengthen client and partner experiences, expand client-facing capacity, grow revenue and assets, and manage regulatory and reputational risk.
Financial institutions shouldn’t have to choose between growth and control. These new capabilities bring intelligence, engagement and governance together, giving client-facing professionals the trusted context & guidance to act in the moments that matter.
The University of Cambridge’s 2026 Global AI in Financial Services Report highlights an industry-wide gap between AI adoption and execution: 81% of surveyed financial services firms are adopting AI at some level, yet only 14% view their deployments as transformational to organizational strategy and competitive advantage. Seismic’s financial services portfolio brings AI, data, approved content, engagement signals and governance together so advisors, wholesalers, bankers, relationship managers and agents can understand who to engage, why the moment matters and what to do next.
“Financial services customers are core to Seismic, and we’re deepening our investment in an industry where trust is everything,” said Rob Tarkoff, Chief Executive Officer, Seismic. “Financial institutions shouldn’t have to choose between growth and control. These new capabilities bring intelligence, engagement and governance together, giving client-facing professionals the trusted context and guidance to act in the moments that matter. That’s how control accelerates growth instead of standing in its way.”
Introducing Seismic Compliance
Seismic Compliance embeds governance directly into client-engagement workflows, helping financial institutions personalize and scale digital engagement while maintaining the control and oversight regulated firms require.
With Seismic Compliance, firms can:
- Govern digital engagement: Capture and archive engagement across Digital Sales Rooms, Bulk Email, and Workspace, with added access controls and approvals for Digital Sales Rooms.
- Build compliance into personalization: Apply approval workflows to personalized content and communications before they reach clients.
- Extend existing supervision: Connect Seismic with firms’ existing archival and supervisory environments and extend retention, post-send supervision and data protection through Theta Lake.
Through its partnership with Theta Lake – the Gartner Critical Capabilities leader for Digital Communications Governance, a multi-year winner of best UC compliance product, and a Fortune Cyber 60 company – Seismic will help firms extend their existing compliance investments and preserve a more complete record of client engagement.
“Compliance and governance have to keep pace with the increasing speed of the digital workplace,” said Devin Redmond, Chief Executive Officer and co-founder, Theta Lake. “By bringing Theta Lake’s validated market-leading digital communications and AI interaction governance capabilities directly into Seismic, firms can expand client engagement while keeping those interactions secure, compliant and governed within the Seismic platform.”
Seismic Social expands AI-assisted content, publishing and compliance
Seismic Social builds on the product formerly known as Seismic LiveSocial with expanded capabilities for AI-assisted content creation, publishing, compliance and measurement. Now directly in the Seismic platform, Seismic Social combines AI-assisted content creation, publishing, compliance and measurement to help financial services professionals build their brand, stay visible and relevant between meetings, grow client relationships, and give firms the governance and supervisory control they require.
Expanded capabilities announced at Shift include:
- Unified social media publishing, administration, and reporting on adoption, engagement, and compliance
- Compliance controls combine review workflows, role-based permissions, and audit trails
- LinkedIn publishing, delegated sharing, curated content streams, and access to trusted third-party content via UpContent
- Post copy generated with Seismic Aura AI within firm-defined guardrails
Together, Seismic Compliance and Seismic Social advance the company’s vision for an AI-powered revenue execution platform built for the trust, governance and complexity of financial services. By turning trusted intelligence into timely, governed action, Seismic helps firms engage clients with greater speed and relevance while strengthening relationships and supporting revenue growth.
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