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Trader Surveillance Navigator

Trader Surveillance Navigator

Trader Surveillance Navigator

Surveillance is a key requirement for firms to detect instances of market abuse and other forms of misconduct. Performing surveillance is costly, with high volumes of false positives consuming a large number of resources and very few real risks identified.

The surveillance landscape is changing. Increasing expectations from regulators, clients and the general public mean that firms will continuously need to focus on improving risk detection mechanisms. Emerging technology and improving data quality will have a key role in this.

Typical Operational Issues

  • In many jurisdictions, the regulations are principle based, leading to surveillance models of varying maturity across the industry.
  • Surveillance risk assessment do not consider the granularity required to implement effective monitoring.
  • High volumes of false positives.
  • Restrictions in vendor products.
  • Data with sufficient granularity is not available

Business Impact

  • Expensive surveillance processes
  • Surveillance coverage gaps
  • True positives are difficult to detect

Trader Surveillance Navigator

KPMG has leveraged its experience of working with clients around the globe to bring structure and clarity to this challenge.

The trader surveillance navigator embraces the key components of performing effective surveillance. Behind all of this sits defined benchmark standards and industry-wide knowledge of surveillance maturity.

Trader Surveillance Navigator

Benefits

The trader surveillance navigator rapidly provides clarity to the actions required to transform your surveillance operations.

Some of these key benefits include:

Policy and risk management

  • Clearly documented and robust risk assessment to support your business in identifying surveillance gaps and remediation
  • Linear mapping between risk taxonomy and surveillance indicators

Process and controls

  • Increased efficiency across your surveillance function, including increased review speed and coverage
  • Reduction in false positives and more precise risk detection capability

People and organization

  • Re-calibration of people-related activity against your organizational framework.
  • Fine tuning of performance management, leadership, culture and learning to ensure your people are equipped with the skills they require and work in an environment optimized for success

Data, technology, and analytics

  • Optimization of internal and third party data to enhance your risk detection capability
  • Tuning of existing tools and systems for optimized performance
  • These measures can result in higher quality surveillance output and initiate:
    • Enhanced risk detection capability
    • Surveillance operational excellence
    • Enablement of commercial growth and success

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