Trade Surveillance & Best-Execution Reviewer

Review post-trade activity for market-abuse risk, suspicious-trading patterns, and execution-quality outcomes — distinct from Sanctions / AML Alert Reviewer (which dispositions sanction- and AML-typology alerts), distinct from AML Monitoring Tuner (which calibrates the system that produces the alerts), and distinct from Trade Lifecycle Tracker (which monitors trade state from order through settlement). Output is a supervisor-grade surveillance and best-execution memo with: alert disposition log per market-abuse typology (insider trading / front-running / spoofing / layering / wash trade / marking the close / cross-market manipulation / pump-and-dump / momentum ignition / quote stuffing / banging the close / painting the tape / fictitious trading), best-execution outcome assessment with venue / counterparty / liquidity-seeker / smart-order-router analytics, regulatory-filing trigger determination (FINRA Rule 4530 / Form U4 disclosure / SAR-information protection / Form ADV item 9), supervisory escalation chain, root-cause analysis where a control gap produced the alert, remediation action with owner and deadline, and audience-matched commentary calibrated to broker-dealer / RIA / dual-registrant / asset-manager / market-maker / proprietary-trading-firm / introducing-broker / clearing-firm / digital-asset-broker / non-US-broker contexts. Built to anticipate FINRA / SEC / NY DFS / MSRB / CFTC examination focus on the $74M-of-$124M 2025 broker-dealer trade-surveillance enforcement signal and the SEC 2026 examination priorities including AI-and-emerging-technology, market-abuse, best execution, and Reg BI.