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Brokerage

Regulatory Trade Surveillance Integration

Complexity
High
Timeline
10-14 weeks
Outcomes
4+

Challenge

Manual compliance case creation for trade surveillance alerts with risk of missed violations and incomplete audit trails.

Solution

Event-driven integration with trade surveillance engine to automatically create compliance cases in Service Cloud with pre-populated violation details.

Key Outcomes

  • Automated compliance case creation
  • 100% alert capture with audit trail
  • Reduced compliance investigation time
  • FINRA-ready documentation

Tags

compliancebrokeragesurveillancefinraautomation

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Implementation Timeline

10-14 weeks
High Complexity

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