Feature · what this software actually does
Trade & personal-trade surveillance
Pre-clears employee trades, monitors firm trades against restricted lists, and runs post-trade scans for patterns.
automatedRuns unattended; humans handle exceptions.
Vendors that ship this
Leaders
- Complysci
- Mycomplianceoffice
Adjacent
- Smartria
- Starcompliance
Build vs buy verdict
buy
Surveillance is regulator-facing — vendors compete on exam-survivability, not UX.
Skills it exercises
Roles that touch it
Where it shows up in the workflow
- Trade & personal-trading surveillancedailyPersonal-trade pre-clearance, restricted-list checks, and post-trade scans all roll up to one analyst queue.
Most relevant for
- HNW
- UHNW
- Family Office
- Institutional / Endowment
Test yourself · topic quizTuned · Operations
Multiple-choice — different from any drill above.
Or play and read