InsightGen - Accelerating Trade Surveillance Communication Analysis

• Trade and Communication surveillance in financial institutions is a vital function, designed to detect and mitigate risks that threaten the integrity of financial markets. Financial institutions monitor all trading and financial transactions to identify detect insider trading, market manipulations and regulatory breaches.

• While the trade surveillance system generates alerts based on bank’s internal rule engine, these alerts are worked upon by risk analysts who must perform deep-dive manual research on the generated alerts and put closure notes to close them.

• One of the key challenges is to connect alerts and suspicious trading activities with supporting evidence hidden within vast data, news and communication archives.

• Risk analysts often perform deep-dive investigations manually, struggling to connect alerts with relevant evidence hidden in vast data archives—leading to slower resolutions and increased regulatory and reputational risk. InsightGen is an AI-enabled system that accelerates Trade Surveillance Alert Investigation by automatically correlating and summarizing the trade surveillance alerts with communication data (emails, chats & voice) and streamlines investigation from start to finish and helps uncover Trading violations with Speed and Precision

The core product capability includes:

1. Alert-Driven Evidence Discovery: When a trade surveillance alert is generated, automatically search communication repositories for related evidence
2. Temporal Correlation: Identify and sequence communications before and after flagged trading activity
3. Contextual Relevance Scoring: Rank communications by likelihood of being related to suspicious activity
4. Evidence Packaging: Present related communications alongside trading data for efficient investigation
5. Alert Analysis & Summarization: Interpret and Summarize alert to highlight the rationale, associated traders (through network analysis)
6. Automated Report Generation: Creates Closure, Escalation and other Regulatory Reports

The above capability is enabled through the following product functionality

1. Correlation Engine - Gen AI Framework to Correlate Alerts against communication data and trading events performing temporal analysis, contextual relevance scoring & summarization.
2. InsightGen UI - An intuitive interface that enables efficient presentation of evidence to support investigation, analysis, and summarization, concluding with clear closure notes
3. Synthetic Data Generator - Gen AI Framework to create synthetic market abuse alerts, associated order & trade data, communication data and market data to test simulate new/emerging scenarios that helps fine-tune Correlation Engine and also helps establish Trade and Communication Surveillance effectiveness.

This solution leverages Amazon SNS, AWS Lambda, AWS Bedrock Agents, AWS App Runner, Amazon API gateway