GenAI transforms complex banking operations into intelligent financial systems

A leading European financial services organization partnered with HCLTech to modernize its trade surveillance operations through the use of advanced artificial intelligence.
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3 min read
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Overview

GenAI-powered trade surveillance modernization

A leading European financial services organization partnered with HCLTech to modernize its trade surveillance operations using advanced AI. As part of a broader compliance transformation initiative, the client aimed to improve analyst efficiency, minimize manual workloads and strengthen its regulatory posture by leveraging the HCLTech AI Foundry platform.

The Challenge

Modernizing trade surveillance for compliance at scale

The client’s compliance operations depended on manual processes to manage and resolve trade surveillance alerts. This approach led to inconsistencies across cases, delays in identifying root causes and high analyst effort spent on repetitive tasks.

With regulatory expectations rising and alert volumes increasing, the organization needed a scalable, intelligent solution that could streamline workflows, reduce time to resolution and drive accuracy across compliance reviews.

Key challenges included:

  • High manual effort in alert triage
    Analysts spent significant time on repetitive tasks that could be automated
  • Inconsistent resolution narratives
    Manual workflows lacked standardization, creating compliance risks
  • Rising alert volumes
    Surging data volumes made it difficult to scale with traditional review models
  • Difficulty identifying root causes
    Manual investigations delayed resolution and risk mitigation
  • Pressure from regulatory bodies
    Growing scrutiny called for faster, more transparent surveillance operations

The Objective

Transforming compliance operations with intelligent automation

The objective was to implement a solution that would automate repetitive tasks, standardize resolution narratives and enable the client to scale compliance operations efficiently. The goal — enhance analyst productivity, improve accuracy and ensure a future-ready compliance posture.

The Solution

GenAI-powered transformation of surveillance operations

To streamline and scale the client’s trade surveillance function, HCLTech implemented an advanced solution leveraging the platform. This GenAI-enabled system was designed to reduce manual effort, improve alert accuracy and ensure compliance consistency — all while boosting analyst productivity.

At the core of the implementation was a rule-based engine to prioritize high-risk alerts, supported by generative AI that assisted analysts with enriched insights and automated resolution summaries.

The features and characteristics of our solution included:

  • Risk-based prioritization engine
    Automated ranking of alerts, allowing analysts to focus on high-impact investigations
  • GenAI for analyst assistance
    Generated contextual summaries and resolution suggestions in real time
  • Automated resolution narratives
    Enabled consistency and auditability in compliance findings across analysts
  • Reduced alert handling time
    Accelerated case closures through intelligent triage and decision support
  • Improved investigation quality
    Contextual data enrichment improved root cause identification and compliance accuracy

The Impact

AI-driven efficiency gains in trade surveillance and compliance

The fundamentally transformed the client’s surveillance operations — accelerating resolution workflows, improving documentation standards and strengthening overall compliance posture.

  • 87.5% reduction in investigation time
    Streamlined processes drastically cut alert triage and closure timelines
  • Consistent and precise documentation
    Automated resolution summaries improved audit readiness and regulatory compliance
  • Faster root cause identification
    AI-powered insights enabled quicker decisions and proactive risk mitigation
  • Elevated compliance operations
    Enhanced productivity and accuracy while reducing operational risk
  • Future-ready compliance posture
    Positioned the institution to scale surveillance with growing regulatory demands

By combining pragmatic automation with the power of GenAI, we helped our client move beyond manual bottlenecks — setting a new standard for efficiency, accuracy and resilience in compliance operations.