Problem

Regulated institutions are expected to scrutinize the knowledge and intentions of their traders, with business leaders held responsible for the actions of their employees. Only a combined analysis of behaviors, intentions, and emotions can deliver the human-centric insights that accurately describe conduct risk. The challenge is meeting these surveillance demands now that the era of escalating compliance spending is over.

The world’s leading financial institutions – including half of the top 10 global investment banks – use Conduct Surveillance to advance a human-centric approach to conduct risk mitigation.

  • Cuts costs and increase efficiency with more meaningful alerts and 95% noise reduction
  • Analyze any and all communications data, including text and audio
  • Surface previously unidentified risks and progress to proactive mitigation
  • Combine structured and unstructured data insights to build 360° employee profiles
  • Easily keep pace with evolving regulatory demands, inc. Dodd-Frank, MAR, and MiFID II
Solution

Conduct Surveillance uses patented AI to turn all forms of communications and structured data into discoverable, understandable, and actionable insights. Trained by compliance and front office control experts at leading financial institutions, it combines analysis of behaviors, intentions, emotions, and behaviors to build 360° profiles that reveal the existence and extent of conduct risk.

 

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  • The leading and most proven technology for analyzing human communication at scale.
  • Human-centric insights go beyond alerts to reveal the ‘why’ behind employee actions.
  • Precision insights enhance surveillance quality and efficiency, reducing total cost of ownership.
Explore how Conduct Surveillance can help you: