I have a daily need to meet global regulatory requirements for mobile voice and text capture across different languages, regions, apps, devices and teams. From BYOD to Corporate Issued, I need to know our employees are monitored and their communications are being captured to avoid costly record keeping fines and reputational damage.
Solutions
When I sit on the trading floor, I am inundated with market data. I probably miss more opportunities than I capture! I need to be able to extract signals from the noise, such as recognizing quotes, price information, and the intent behind conversations to contextualize the firm’s transactions and relationships. The ability to streamline massive amounts of data while also gleaning valuable insights using machine learning coupled with LLMs (large language models) in a robust AI tool trained on financial models is important to me because it enables me to generate more P&L, better manage risk, and improve efficiency.
Solutions
As part of a global surveillance team I need a way to capture, review and analyze huge volumes of structured and unstructured communications data generated by our sales and trading desks. I’ve got all this data in front of me in multiple languages, in multiple formats, and across geographies, but I need a unified and aggregated view into this data and a solution to automate the process and eliminate false positives. We have an obligation to meet regulatory requirements for communication monitoring as well as self-regulate the business and manage any potential conduct risk. We need a tool that provides flexibility and control to meet these obligations.
Solutions
For me, managing the firm’s regulatory risk is of critical importance. Whilst I have a good intraday view of market and transactional risks, I need a solution that provides a “rearview mirror” of all our historic trades, the context and the communications around those trades to fulfill my regulatory and reporting obligations. Attempting to do this manually, simply takes too long and requires too many people. Therefore, I need an automated and integrated solution where I can find the information I am looking for in minutes, not months.
Solutions
