post-trade surveillance services for financial institutions
Post trade surveillance BPM services
Market abuse detection has outgrown most in-house surveillance teams. Trading desks generate exception volumes that legacy monitoring cannot triage fast enough, while regulatory expectations around insider trading, spoofing, and communication-linked manipulation keep expanding. The result for most compliance functions is a backlog of unresolved alerts and rising headcount costs that do not track with risk reduction.
Our Trade Surveillance practice runs 24x7 global coverage for multiple financial institutions, combining domain-trained analysts with our proprietary Process Progression Model (PPM) framework. We do not just staff the alert queue; we restructure how exceptions are triaged, investigated, and closed, so cost and risk move in the same direction.
Over the years, trade surveillance has been a point of increased focus from a regulator standpoint to detect and prevent insider trading and market manipulation, particularly in the monitoring of financial firms’ order books. FIs are focusing on market abuse not only to meet regulatory expectation but also to prevent market abuse and protect their reputation. Our Trade Surveillance practice has domain experts delivering 24 x 7 global coverage for multiple clients. With our deep knowledge about the processes as well as our experience with global banks, we bring industry best practices by applying our proprietary Process Progression ModelTM (PPM) framework and help organisations to transform operating models, improve business performance, and standardise processes with reduced costs.
Our offerings
Post-trade surveillance
End-to-end monitoring of executed trades against insider trading, layering, spoofing, and wash trade patterns, with disposition workflows tuned to reduce backlog without increasing missed-alert risk.
e-communication surveillance
Lexicon and behavioral monitoring across voice, chat, and email channels, integrated with trade data so communication risk and trading risk are reviewed together rather than in separate silos.
Control room surveillance
Information barrier monitoring, wall-crossing tracking, and conflict-of-interest surveillance for firms managing material non-public information across deal teams.
Why choose us for trade surveillance?
Infosys BPM is uniquely placed in driving process transformation by leveraging our cross-functional teams across consulting and operations as well as our homegrown product suite — AML Alert Workbench and Risk Profiling Agent for Screening Disposition. It consists of:
- A dedicated compliance CoE focusing on best practices, monitoring regulations, metrics/benchmarks, knowledge management, training, and partnerships.
- An on-demand e-Learning modules with certification accessible anytime from anywhere, focusing on market surveillance and trading activity analytics.
In addition, our Trade Surveillance practice delivers benefits to banks by:
- Reducing the handling time and improving the throughput per agent by 30–40% with improved controls through customized trade surveillance software.
- Reducing the total cost of ownership with an assurance to bring down overall Trade Surveillance operations cost by 50–70%.
- Reducing false positives by up to 40% through operational and technological initiatives.
Furthermore, we have strategic partnerships with global fintech/regtech companies in the compliance space across advisory, platform, and RPA/ML/AI providers, thus delivering the best, tailor-made solutions to meet client requirements.
Our Solution is a customised, holistic, end-to-end solution that delivers compliance requirements to financial institutions, from business consulting through the entire life cycle of product selection, implementation, maintenance, and day-to-day operations.
Success stories
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Challenges & solutions - trade surveillance
Outsourced trade surveillance models typically reduce total cost of ownership by 50 to 70% compared to maintaining an equivalent in-house team, primarily by combining shared analyst pools, purpose-built alert workbenches, and 24x7 coverage that avoids overtime and shift premiums. Savings scale with alert volume and the complexity of asset classes covered. Infosys BPM structures engagements around assured cost outcomes rather than headcount-based pricing, so the savings target is contractual rather than aspirational. The right comparison point is fully loaded in-house cost, including technology licensing, training, and attrition-driven hiring, not just analyst salaries.
Post-trade surveillance reviews executed trades against patterns associated with market abuse, such as spoofing, layering, and insider trading, using trade and order book data. e-Communication surveillance instead monitors voice, chat, and email for language and behavioral signals that may indicate intent to manipulate markets or share material non-public information. Reviewed separately, the two miss connections between what a trader communicated and what they subsequently executed. Infosys BPM integrates both data sets into a single disposition workflow so investigators see communication context alongside trade activity rather than reconciling two disconnected alert queues.
False positive reduction works only when paired with calibrated detection thresholds, not blanket alert suppression. Our approach combines a risk-based scoring model, behavioral baselining per trader and desk, and a Risk Profiling Agent that prioritizes disposition queues by genuine risk signal rather than alert volume alone. This has reduced false positives by up to 40% for clients while maintaining detection coverage, validated through parallel-run testing before any threshold change goes live. The goal is fewer alerts that matter less, not fewer alerts overall.
Three things matter most: regulatory domain depth across the specific asset classes and jurisdictions involved, a track record of measurable outcomes rather than staffing claims, and technology flexibility rather than a single proprietary platform mandate. Institutions should also confirm how a partner handles control room and information barrier requirements, since these are often managed separately from trade surveillance despite overlapping risk. Infosys BPM's strategic partnerships across fintech and regtech providers mean the technology layer adapts to the client's existing stack rather than forcing a platform migration.
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