Trading Surveillance Review overview

Monitors trading activity for market abuse and regulatory violations — running surveillance algorithms to detect insider trading patterns (trading ahead of material non-public information), identifying potential market manipulation (layering, spoofing, wash trades, marking the close), monitoring for front-running of client orders, reviewing cross-market alert correlations, investigating flagged alerts with trade reconstruction and communication review, and escalating confirmed suspicious activity to compliance leadership for SAR filing. Produces surveillance alert dashboards, investigation case files, and regulatory examination-ready audit logs. Excludes regulatory policy creation and enforcement action proceedings.