Real-Time Compliance Monitor
Continuous monitoring system that audits 100% of communications and trades for regulatory compliance, replacing sample-based manual testing.
Executive Summary
A global investment bank deployed an NLU-based compliance monitor that analyzes 100% of employee communications in real-time. The system detected a market manipulation scheme in the first month and reduced false positive alerts by 90%.
Background & Context
Financial regulators have dramatically increased scrutiny of employee conduct and communications. Fines for compliance failures now routinely exceed $100M, with some reaching into the billions. Yet the volume of communications—emails, chats, voice calls, video meetings—makes manual review impossible. Banks that sample 1-2% of messages are essentially flying blind. The industry needs AI that can understand context, detect subtle violations, and prioritize cases for human review.
The Challenge
A global investment bank was struggling to monitor the vast volume of employee communications across email, chat, and voice. Manual compliance teams could only sample 1-2% of messages, leaving the firm exposed to massive regulatory risk.
False positives from legacy keyword-based systems were burying compliance officers in irrelevant alerts, causing 'alert fatigue' and allowing real issues to slip through.
New regulations required stricter oversight of conduct and culture, which was impossible to measure with traditional tools.
Our Approach
We deployed a Natural Language Understanding system that reads and listens to every interaction in real-time. Unlike keyword-based systems, it understands context, sarcasm, and code words. Related alerts are grouped into 'cases' and prioritized by risk level. Active learning from compliance officer feedback continuously improves accuracy.
Solution Workflow
The diagram below shows how our Compliance Monitor ingests communications from all channels, analyzes them with contextual NLU, and surfaces prioritized cases for review.
The Solution
Syvoq deployed a Natural Language Understanding (NLU) based Compliance Monitor that reads and listens to every interaction in real-time.
- Omnichannel Monitoring: Ingests data from email, Slack, Teams, Zoom, and voice calls into a unified surveillance platform.
- Contextual NLU: Understands context, sarcasm, and code words to detect insider trading, market manipulation, and conduct breaches with high precision.
- Automated Case Management: Groups related alerts into 'cases' and prioritizes them by risk level for human review.
- Dynamic Policy Updates: Rules can be updated in minutes to adapt to new regulations or emerging risks.
Key Technologies
Training & Deployment
The system was pre-trained on a corpus of financial regulations and enforcement actions, then fine-tuned on the bank's internal communication history.
Active learning allows compliance officers to provide feedback on alerts, continuously improving the model's accuracy and reducing false positives.
Technical Architecture
High-Throughput Ingestion
Processes millions of messages per hour with near-zero latency.
Inference Engine
Runs multiple BERT-based models in parallel to check for different types of violations.
Compliance Dashboard
Provides a real-time view of risk posture and individual employee risk scores.
The Impact
The bank moved from reactive firefighting to proactive risk management, securing its reputation and bottom line.
Risk Reduction
- •Achieved 100% coverage of employee communications.
- •Detected and stopped a potential market manipulation scheme in the first month.
- •Reduced regulatory fine exposure by an estimated $20M+.
Operational Savings
- •Reduced false positive alerts by 90%.
- •Compliance team productivity increased by 5x.
- •Eliminated the need for outsourced manual review.
Total Coverage
Moving from 1% sampling to 100% coverage fundamentally changes the risk equation for financial institutions.
Key Takeaway
Compliance is no longer about checking boxes; it's about understanding behavior at scale. AI enables firms to monitor culture and conduct in real-time.
Ensure compliance with 100% coverage.
Discover how our Compliance Monitor can protect your firm from regulatory risk.