Communications surveillance in financial institutions: What is new, what is changed and why it is still broken

Alexander Aronov
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Alexander Aronov: Head of Surveillance and Employee Compliance Intelligence, Citigroup, USA

Journal of Financial Compliance, 2025, vol. 9, issue 2, 110-115

Abstract: This paper explores the persistent challenges in communications surveillance within the financial services industry, highlighting how, despite technological advancements, these systems often fail to achieve a balance between precision and scalability. The paper examines three core pillars of modern surveillance: data governance, detection and alert generation and alert disposition and analytics. Furthermore, the paper provides practical recommendations for compliance and regulatory professionals. It delves into the strategic ‘build versus buy’ decision for surveillance technology and outlines best practices for data management, model validation and alert handling. This article is also included in The Business & Management Collection which can be accessed at https://hstalks.com/business/.

Keywords: communications; surveillance; data; governance; artificial intelligence; AI; machine learning; ML; natural language processing; NLP (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2025
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jfc000:y:2025:v:9:i:2:p:110-115

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