IRIS 7

Pre-Built & Custom Agents

Trade Surveillance Agent

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IRIS 7

Pre-Built & Custom Agents

Trade Surveillance Agent

Latest White Papers

Watch Latest Workshop

IRIS 7

Pre-Built & Custom Agents

Trade Surveillance Agent

Latest White Papers

What is the Trade Surveillance Agent?

The Trade Surveillance Agent interprets trading behaviour in context, combining market signals with policy-based reasoning to deliver clear, defensible decisions beyond traditional rule-based surveillance.

What is the Trade Surveillance Agent?

How can compliance teams manage high volumes of surveillance alerts that require expert review?

AI Agents resolve routine alerts automatically, reducing false positives and enabling analysts to focus on higher-risk investigations while improving scalability and efficiency.

How can compliance teams manage high volumes of surveillance alerts that require expert review?

AI Agents resolve routine alerts automatically, reducing false positives and enabling analysts to focus on higher-risk investigations while improving scalability and efficiency.

How can banks ensure consistent decisions in market abuse surveillance across teams and regions?

Structured, policy-aligned evaluation ensures trading behaviour is assessed consistently across desks, instruments, and jurisdictions, producing clear, auditable outcomes.

Expert Interpretation of Market Abuse Alerts at Scale

Market abuse surveillance requires careful interpretation of trading behaviour, intent, and regulatory expectations across markets and instruments.

Expert Interpretation of Market Abuse Alerts at Scale

Market abuse surveillance requires careful interpretation of trading behaviour, intent, and regulatory expectations across markets and instruments.

Expert Interpretation of Market Abuse Alerts at Scale

Market abuse surveillance requires careful interpretation of trading behaviour, intent, and regulatory expectations across markets and instruments.

The Trade Surveillance Agent on Iris 7 autonomously investigates and decides complex alerts against internal surveillance policies and market abuse regulations, analysing behaviour across traders, instruments, and market conditions to deliver consistent, policy-aligned outcomes.

Each alert produces a clear decision – closure, escalation, or referral under defined governance rules – supported by structured reasoning that demonstrates alignment with internal policy and regulatory expectations.

Key Client Challenges

Market abuse surveillance generates large volumes of alerts that require expert interpretation, creating pressure on surveillance teams and investigation workflows.

Financial institutions must routinely:

Key Client Challenges

Market abuse surveillance generates large volumes of alerts that require expert interpretation, creating pressure on surveillance teams and investigation workflows.

Financial institutions must routinely:

Key Client Challenges

Market abuse surveillance generates large volumes of alerts that require expert interpretation, creating pressure on surveillance teams and investigation workflows.

Financial institutions must routinely:

Investigate high volumes of alerts across desks, products, and trading venues

Distinguish legitimate trading strategies from potential market abuse

Manage surveillance scenarios that generate excessive false positives

Apply market abuse policies consistently across traders, desks, and regions

Rely on senior surveillance analysts for complex investigations

Traditional surveillance systems detect patterns but do not interpret behaviour or make decisions.

As a result, experienced analysts spend significant time manually reviewing alerts, slowing investigations, increasing operational burden, and limiting the scalability of surveillance operations.

How the Trade Surveillance Agent Works

Rather than relying on static rules alone, the Trade Surveillance Agent applies analyst-level reasoning to each alert, interpreting trading behaviour in context and aligning decisions with internal policies and regulatory expectations.

How the Trade Surveillance Agent Works

Trading Context Assembly

Relevant trading activity is brought together across time, instruments, traders, and market conditions to establish a complete view of the behaviour under review.

Behavioural and Policy Evaluation

Trading patterns are evaluated against internal market abuse policies and regulatory expectations, considering intent, strategy consistency, and contextual market signals.

Structured Decision Output

Each alert results in a clear outcome – closure, escalation, or further investigation – with structured reasoning that explains how the decision aligns with policy and regulatory expectations.

Outcomes

Scalable Expert Judgment for Market Abuse Surveillance

The Trade Surveillance Agent enables institutions to scale market abuse investigations while maintaining the judgment, consistency, and transparency expected by regulators.

Outcomes

Scalable Expert Judgment for Market Abuse Surveillance

The Trade Surveillance Agent enables institutions to scale market abuse investigations while maintaining the judgment, consistency, and transparency expected by regulators.

Outcomes

Scalable Expert Judgment for Market Abuse Surveillance

The Trade Surveillance Agent enables institutions to scale market abuse investigations while maintaining the judgment, consistency, and transparency expected by regulators.

Reduced Alert Volumes for Manual Review

Routine alerts are resolved automatically, allowing analysts to focus on higher-risk and more complex investigations.

Reduced Alert Volumes for Manual Review

Routine alerts are resolved automatically, allowing analysts to focus on higher-risk and more complex investigations.

Faster Surveillance Investigations

Alert analysis and decision-making are accelerated across trading desks and instruments, reducing investigation timelines.

Faster Surveillance Investigations

Alert analysis and decision-making are accelerated across trading desks and instruments, reducing investigation timelines.

Consistent Policy Application

Market abuse policies are applied consistently across teams, regions, and surveillance scenarios.

Consistent Policy Application

Market abuse policies are applied consistently across teams, regions, and surveillance scenarios.

Improved Decision Transparency

Every outcome includes structured reasoning and supporting context, strengthening auditability and regulatory confidence.

Improved Decision Transparency

Every outcome includes structured reasoning and supporting context, strengthening auditability and regulatory confidence.

Reduced Dependency on Senior Analysts

Expert-level judgment is extended across a larger volume of alerts, alleviating bottlenecks and improving operational scalability.

Reduced Dependency on Senior Analysts

Expert-level judgment is extended across a larger volume of alerts, alleviating bottlenecks and improving operational scalability.

Built for Governance

Transparent, inspectable, auditable

Every decision produced by the Trade Surveillance Agent is designed to operate within institutional governance frameworks and meet regulatory requirements.

Built for Governance

Transparent, inspectable, auditable

Every decision produced by the Trade Surveillance Agent is designed to operate within institutional governance frameworks and meet regulatory requirements.

Built for Governance

Transparent, inspectable, auditable

Every decision produced by the Trade Surveillance Agent is designed to operate within institutional governance frameworks and meet regulatory requirements.

Full Reasoning Transparency

Each decision includes clear, structured reasoning, enabling surveillance teams, compliance officers, and auditors to review, challenge, and validate outcomes.

Full Reasoning Transparency

Each decision includes clear, structured reasoning, enabling surveillance teams, compliance officers, and auditors to review, challenge, and validate outcomes.

Defined Escalation and Oversight

The agent operates within clearly defined governance parameters and escalation pathways aligned to internal risk frameworks.

Defined Escalation and Oversight

The agent operates within clearly defined governance parameters and escalation pathways aligned to internal risk frameworks.

Human-in-the-Loop by Design

Human-in-the-loop governance is applied at the policy design stage, with human-over-the-loop oversight in production, enabling autonomous market abuse surveillance decisions with full transparency, control, and auditability.

Human-in-the-Loop by Design

Audit-Ready Documentation

Each alert investigation produces a complete record of the trading behaviour assessed, reasoning applied, and outcome reached.

Audit-Ready Documentation

Each alert investigation produces a complete record of the trading behaviour assessed, reasoning applied, and outcome reached.

Transparent & Context-Aware Surveillance Decisions

Structured reasoning visible for every surveillance decision

Trading behaviour assessed across instruments and time

Market context and intent clearly considered

Decisions aligned with internal market abuse policies

Outputs fully reviewable, challengeable, and auditable

Designed to operate within institutional governance frameworks

Expert AI interpretation of trading behaviour, enabling institutions to investigate market abuse alerts faster while maintaining consistent, defensible surveillance decisions.

Interested in Iris 7 Custom Build?

Explore how custom AI Agents can be applied to other complex financial crime challenges across your organisation

More Custom Agents

Interested in Iris 7 Custom Build?

Explore how custom AI Agents can be applied to other complex financial crime challenges across your organisation

More Custom Agents