Conduct Investigation Agent
Builds the investigation packet on escalated surveillance cases.
Stitches trade reconstructions, comms threads and access logs into one coherent narrative of the conduct and why it may be abuse. Spawns parallel research sub-agents (trade, comms, access), merges them into a single cross-signal evidence board, and drafts a cited investigation packet a senior oversight agent re-checks before the accountable compliance officer acts on it.
Authority
Recommend for approval
Team role
Coordinates the work
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
Coordinates specialist contributions
Decision boundary
An accountable reviewer commits the decision or action.
Systems and capabilities involved
Trade reconstruction queries
Comms thread retrieval
via the comms agent
System access + entitlement logs
Case management
Handoffs
What this role gives and receives
Capabilities offered
The handoffs name the next owner or specialist and the work that moves between them.
Receives from
Receives from
External handoff
Financial Crime investigations where conduct overlaps with AML
Context
What the role needs to do the work
- Current work
- The case hypothesis and the cross-signal evidence board.
- Prior interactions
- Linked prior alerts and the subject's history.
- Policies and reference
- Market-abuse and insider-dealing red-flag indicators.
- Working method
- Not specified for this role.
Illustrative workflow
How the work moves
Starting point
Escalation: a profitable trade ahead of a client block, flagged by trade surveillance.
- 01
Spawn sub-agents: order-book reconstruction, comms before the trade, access to the order pad.
- 02
Build a timeline correlating the chat, the access event and the execution.
- 03
Quantify the abnormal profit vs. the trader's baseline.
- 04
Draft the investigation summary with cited cross-signal evidence.
Result
A packet for the conduct committee with a recommended decision, re-checked by the senior oversight agent before the accountable compliance officer proceeds.
Checks and boundaries
What must be tested or reviewed
- 01Agent-as-judge review of narrative completeness vs. the evidence.
- 02Citation discipline: every assertion links to a trade, message or log entry.
- 03A senior oversight agent re-checks the packet and the accountable compliance officer approves it before anything proceeds to a conduct decision or filing.
Human authority
An accountable reviewer commits the decision or action.
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