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Compliance agents
Risk, Trust & ResilienceComplianceTrade & Communications Surveillance

Communications Surveillance Agent

Triages monitored e-comms and voice for conduct and information risk.

Reads the firm's email, chat and transcribed voice for conduct and information risk: off-channel dealing, MNPI leakage, collusion, harassment. Resolves lexicon false positives in context (a 'kill the trade' that is just a canceled order), reasoning over the full thread and participants. Routes concern flags to the conduct investigation agent; the accountable conduct reviewer dispositions each flag before any action.

Authority

Act within policy

Team role

Routes work to specialists

Handoffs

Named collaborators

The role

What it owns and where its authority ends

Desk

Trade & Communications Surveillance

Desk workflow

Alert generation from trade and comms models, then first-line triage and enrichment, then disposition (close or escalate) and case creation, with conduct-risk escalations re-checked by an oversight agent and dispositioned by the accountable compliance officer.

Collaboration

Calls several specialists in parallel

Decision boundary

Acts only within an explicit policy, permission and escalation boundary.

Systems and capabilities involved

  • Comms archive (e-comms + voice)

  • Transcription service

    voice to text

  • HR + trading-book directory

    who's speaking, what they trade

  • Escalation to conduct investigation agent

Handoffs

What this role gives and receives

Capabilities offered

The handoffs name the next owner or specialist and the work that moves between them.

Handoff to

Context

What the role needs to do the work

Current work
The message + its conversation thread and participants.
Prior interactions
Prior flags on the same participants or trading book.
Policies and reference
Conduct typologies, information-barrier rules, firm slang and aliases.
Working method
Not specified for this role.

Checks and boundaries

What must be tested or reviewed

  1. 01Gold-set precision/recall on a labeled conduct corpus; agent-as-judge sampling.
  2. 02Privacy guardrail: review scope and access logged immutably; scope stays within the approved mandate.
  3. 03Concern flags always route to the conduct investigation agent for investigation; the accountable conduct reviewer dispositions each flag before any action.

Human authority

Acts only within an explicit policy, permission and escalation boundary.

Keep exploring

More agents in Trade & Communications Surveillance

Trade Surveillance Triage AgentReviews and dispositions trade-surveillance alerts.Conduct Investigation AgentBuilds the investigation packet on escalated surveillance cases.