Market Surveillance & Compliance Agent
Effort Split: Human: 55% | AI: 45%
You can deploy this AI Worker with
no risk and no upfront investment.
We contractually guarantee ROI.
U.S. National Average Pay Range: $40,000 – $158,500 per year
This role involves monitoring trading activity across asset classes, detecting market abuse or irregularities, ensuring compliance with regulations, conducting investigations, and coordinating with legal, compliance, and trading teams.
| Task Name | AI Capability | Human Oversight | Notes |
|---|---|---|---|
| Trade Data Ingestion & Normalization | ✅ High | 🚫 Low | AI can ingest multi-source trade and market data, normalize formatting and timestamps. |
| Automated Surveillance Rule Execution | ✅ High | 🚫 Low | AI excels at running surveillance rules to flag potential market abuse or trades outside thresholds. |
| Alert Triage & Prioritization | ⚠️ Medium | ⚠️ Medium | AI can rank alerts based on risk scores; human analysts confirm severity and relevance. |
| Investigation Support & Initial Documentation | ⚠️ Medium | ⚠️ Medium | AI can compile trade chains, past behavior, and relevant records; humans conduct interviews, interpret context, and draft final reports. |
| Regulatory Reporting & Log Maintenance | ✅ High | 🚫 Low | AI can generate regulatory filings (e.g., suspicious transaction reports) and maintain compliant audit trails. |
| Real-Time Monitoring & Alerting | ✅ High | 🚫 Low | AI excels at live surveillance, identifying breaches instantly with minimal human oversight. |
| Compliance Rule Update Suggestions | ⚠️ Medium | ⚠️ Medium | AI can propose changes when new regulations or patterns emerge; humans validate and approve adjustments. |
| Cross-Team Coordination & Legal Communication | 🚫 Low | ✅ High | Humans lead stakeholder collaboration, legal interpretations, enforcement decisions, and communication. |
| Training & Mentorship of Junior Staff | 🚫 Low | ✅ High | Human experts are essential for onboarding, mentoring, and developing analytical judgement in junior agents. |
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