Modernizing Compliance and eDiscovery

Background 

A global bank wanted to modernize its compliance and eDiscovery capabilities while meeting strict regulatory obligations. Historically reliant on third-party archives, it faced challenges with scalability, legal hold immutability, and outdated workflows. The bank wanted to use Microsoft 365 (M365) but struggled to align the platform with complex FinServ requirements. 

Lighthouse helped bridge that gap, applying deep expertise in financial regulation, compliance automation, and eDiscovery to design a defensible, operational solution.

Challenges 

Solution 

Lighthouse applied its extensive regulatory and technical expertise to develop a strategic implementation roadmap. This included automated legal hold preservation and collection workflows, which reduced reliance on manual processes and enabled seamless expansion of M365 compliance capabilities over time. 

• Align Microsoft 365 with Regulatory Standards 
  Lighthouse worked closely with IT, compliance, and legal teams to design an M365-based solution that satisfied immutability and defensibility requirements, including identifying platform gaps and remediating them with Microsoft. This enabled the bank to transition to Microsoft 365 as its system of record for legal hold, eDiscovery, and compliance.  

• Design Secure & Scalable Data Governance  
  Applying cross-border regulatory expertise, Lighthouse created jurisdiction-specific frameworks to support M365 deployment in restricted regions while maintaining governance consistency and preparing for future expansion. Key task automation enabled the bank to manage large-scale compliance and eDiscovery more efficiently.

• Modernize Archives & Data Retention  
  By implementing a compliant storage model for M365 communications, the bank decommissioned third-party archives while maintaining rigorous governance standards. Automated legal hold and eDiscovery workflows improved efficiency and reduced manual effort.

• Establish a Sustainable Governance Framework
  Through cross-functional workshops, Lighthouse developed a governance framework to support long-term M365 adoption, tool onboarding, and geographic expansion—ensuring scalability and regulatory adaptability

Take Aways

By aligning Microsoft 365 with the bank’s strict compliance requirements, Lighthouse provided a seamless transition to modern, defensible governance practices. The institution became the first major bank to declare M365 its system of record—setting a new standard for compliance transformation.

Lighthouse brings the strategy, expertise, and execution financial institutions need to confidently modernize.