Trade surveillance review

Surveillance alerts turned into reviewed case files

Snowflake, ServiceNow, Box

How a run goes

The steps this agent takes, in order, and what each one leaves behind.

Reads the alert, the related trades and the market data

Reviews each surveillance alert against the trade, the order history and the market at the time

Applies the review procedure and drafts the finding

Drafts the case note with the evidence for closing the alert or escalating it

Routes the case to the compliance officer with the evidence

Keeps the alert queue prioritized by pattern and repeat trader

Works in

Snowflake, ServiceNow, Box

What it does

Reviews each surveillance alert against the trade, the order history and the market at the time
Drafts the case note with the evidence for closing the alert or escalating it
Keeps the alert queue prioritized by pattern and repeat trader

Query and materialize warehouse data with your existing roles.

Open, correlate, and resolve incidents and requests.

Read, classify, and file documents with retention rules.

Need it to work differently?

Every agent can be changed: the steps it takes, the systems it uses and who approves what.