Real-Time MiFID II & SEC Trade Surveillance
Business Problem: Legacy rule-based surveillance systems generated a 94% false-positive rate, overwhelming compliance officers and risking multi-million dollar regulatory fines for missed market manipulation.
AI Architecture: An event-driven pipeline utilizing Kafka for sub-millisecond data ingestion, coupled with a hybrid GNN (Graph Neural Network) to detect complex wash-trading patterns and LLM-based agents to automatically draft preliminary SARs (Suspicious Activity Reports).