Trade Surveillance Services – For a Global Hedge Fund

  • 20K

    alerts reviewed

  • 800

    red flags identified

  • USD 150K

    saved in operating cost

  • 100%

    timeline achieved

Client Challenges
  • A hedge fund– with offices in the US & UK – was in the process of launching a global optimization to streamline their trade surveillance process
  • The compliance team was facing bandwidth issues in managing the review of large volume of trade surveillance alerts
Our Approach
  • Deployed a total of 3 senior trade surveillance professionals experienced in various compliance for NA, EMEA, and APAC regions
  • We successfully migrated the trade surveillance and Investment compliance function which reduced pressure on the onshore teams
  • Successfully centralized Trade surveillance monitoring processes with stipulated time
  • Trade surveillance models we covered include:
    • Trade allocations
    • Cross trades
    • Trade sequence
    • Price/volume verification
    • Best execution
    • Insider trading
    • Speculative trading
    • Wash Trade
    • Window dressing
  • We developed standard operating procedures, work flows, and best-practices documents for the processes offshored
  • Over time, the team further streamlined the process, which resulted in measurable efficiencies
Impact delivered
  • The client was able to access talent with the required skill sets within short spans of time and scaled the team to maintain SLA’s
  • Reduced cost of compliance staffing by 60% by enabling the client to leverage the offshore team
  • Improved process efficiency by enhancing the reviewing and reporting processes
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