Trade Surveillance Agent
← Legal Optimizer
Vault
✓
Intake
✓
Rules
3
Config
4
Dashboard
5
Detail
Output & Workflow Configuration
Set up alert routing, investigation workflows, and system integrations.
Alert Routing
New Alerts → Assign To
Surveillance Team Queue
Branch Compliance
Direct to CCO
Escalated Alerts → Route To
CCO + Legal
Compliance Committee
BSA Officer
SAR Referrals → Route To
BSA Officer + CCO
CCO + Outside Counsel
SLA for Alert Disposition
24 hours
3 business days
5 business days
10 business days
Reporting
Daily Alert Summary
Auto-email to surveillance team
Dashboard only
Disabled
Monthly Pattern Report
Auto-generate + CCO email
Manual trigger
FINRA Rule 3110 Report
Annual — auto-generate
Manual
Board Reporting
Quarterly summary
Semi-annual
Annual
System Integrations
Order Management System
Broadridge
FIS
SS&C
Manual feed
Communication Surveillance
Global Relay
Smarsh
NICE Actimize
None
Case Management
Built-in workflow
Salesforce
ServiceNow
Document Storage
Firm document vault
SharePoint
Box
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