Compliance to revenue growth

From compliance to smart assistant

What I did

Scroll to bottom of this page to see a conceptual demo.

Compliance needed to monitor all desk calls and mobile calls.

I identified value as moving from ad hoc manual to full automatic monitoring.

I identified gap as high accuracy, low false positives, and equivalent capabilities across all 9 languages.

I expanded scope to add emails and IMs.

I expanded scope to correlate and analyze communications to help traders keep track of deals, opportunities, followup...a smart assistant.

Pre-trade --> post-trade --> smart assistant



Initially, monitor all communications for potential issues related to spoofing, MiFIDII.


Analyze and index all communications, save for future audit investigations.




Detect and classify desk calls, mobile calls, emails, IMs, Bloomberg chat.


Extract entities (counter parties, price, quantity, products, open trades, executed trades, etc.)


Correlate activity for new opportunities, delayed responses, ongoing negotiations.




Analyze tone, delays in responses, repeated questions for new products, new services.



Save time for sales&trading as single view across disparate systems:

  • Put new opportunities in CRM automatically.
  • Pull up ongoing opportunities automatically.
  • Detect new opportunities mentioned passively in communications.
  • Capture negotiations and discussions in CRM automatically


For management:

Evaluate activity performance by asset class, counterparties, sales, trading.




Correlate trades with all communications. Nothing missed across channels.



Updating pre-trade and post-trade details across sales desk, trading, compliance.


Alert on anomalous behavior, changing communications channels (deskphone to WhatsApp, "let's meet for lunch")



Realtime detection of behavioral risk.


Identify fat finger errors, escalate counterparty issues quickly, minimize delays in responding.


Identify trades missing confirmation, closing communications without trades actually executed.


More detailed reporting, automatic escalation.

Smart assistant


Deliver actionable insight to sales&trading as real-time suggestions: do more of what is working.

  • Ask questions that probe for counterparty needs and gaps.
  • Suggest documents and proposals that are working.
  • Stop asking questions that aren't helping.

Capture questions as feedback to clarify opening statements, comparisons with other offerings.



Cross-reference closed, successful transactions in terms of timing, number of interactions, information sent, negotiation tone, time to close deals, etc.




Help general performance by capturing what great sales people are doing, as suggestions for others.


Alert on negotiations at risk.


List open transactions continuously, rank for each person at start-of-day.


Identify odd volumes: lower negotiations/amounts than usual by desk or counterparty.


Identify trending topics.



Here's a conceptual MVP, to show value and impact to sales&trading and management.

Cloud architecture, integration with internal data, how analytics happened were shown separately in technical documents.

Goal is to get feedback to gauge interest before building demo, integrating with OMS, etc.


Scroll down below image.

Click "□" to display full size.

Then click ">" below the image to play.