Trade Surveillance Triage Agent
Reviews and dispositions trade-surveillance alerts.
Reads each market-abuse alert, reconstructs the order-and-execution sequence, pulls the trader mandate and the prevailing market, and dispositions clear noise with a cited rationale. Scores against the spoofing, layering, wash-trade and front-running typologies, escalates anything above a conduct-risk threshold to the surveillance oversight agent, and retains a full reconstruction trace.
Authority
Recommend for approval
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
An accountable reviewer commits the decision or action.
Systems and capabilities involved
Surveillance platform
read/write alert + case state
Order + execution records
OMS/EMS reconstruction
Market data feed
prevailing book + prints
Trader mandate / restricted lists
Escalation to surveillance oversight 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
- Per-alert scratchpad: the order sequence, hypotheses, disposition lean.
- Prior interactions
- Prior alerts on the same trader/desk/instrument.
- Policies and reference
- Market-abuse typologies (MAR/MAD) and the firm's surveillance scenarios.
- Working method
- Disposition playbooks refined from oversight-agent overrides.
Illustrative workflow
How the work moves
Starting point
Spoofing alert: large sell orders placed and canceled around a small buy fill.
- 01
Reconstruct the full order lifecycle with timestamps against the order book.
- 02
Check whether canceled volume ever rested at executable prices.
- 03
Pull the trader's mandate and recent alert history on the instrument.
- 04
Score against the spoofing typology; draft rationale.
Result
Escalates to the surveillance investigation desk with a pre-built packet, intent indicia and order-book impact quantified; clear-noise alerts close with notes.
Checks and boundaries
What must be tested or reviewed
- 01Gold-set precision/recall vs. the labeled disposition set; agent-as-judge sampling.
- 02Hard guardrail: cannot close above a conduct-risk threshold; escalation to the oversight agent is forced.
- 03Full decision trace of every reconstruction retained for audit.
- 04Monthly typology-drift detection against newly confirmed conduct cases.
Human authority
An accountable reviewer commits the decision or action.
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