Where can I see a list of Skematic's broker feed coverage?

Contact us and our team would be happy to share our latest list of broker connections.

What are some example trade rules Skematic can accomodate?

Skematic’s rules engine is best in class. We can handle the simplest or most complex rules, depending on your firm’s trade policy. Some examples include: Alert when a security on the restricted list is traded Flag if the aggregate FMV of multiple trades in an issuer exceeds a set threshold Detect trades executed during a blackout period Identify short-swing or round-trip trades within restricted timeframes Surface unlinked account activity or missing brokerage feeds Cross-check executed trade requests against employees with MNPI access

How long does it take to set up broker feeds?

Feeds can be connected in a matter of minutes by your employees via Plaid APIs. For direct feeds, our data operations team can repoint feeds from your existing compliance platform to Skematic.

What makes Skematic's employee trade surveillance unique?

Firstly, Skematic treats trade surveillance as part of a connected employee compliance program, not as an isolated alerting tool. Broker data, security information, surveillance rules, employee records, pre-clearance activity, cases, and review history can work together within one compliance environment. That gives teams greater context when reviewing activity and a clearer record when explaining how a matter was handled. Additionally, Skematic’s rules engine helps compliance teams look beyond isolated transactions. It can evaluate activity against the policies, thresholds, relationships, and conditions configured for the firm, helping surface patterns that may not be apparent from a single data point. This supports more granular analysis of issues such as excessive trading and holding periods while allowing compliance professionals to apply judgment where the facts require it. The goal is not to replace human review. It is to make that review more focused, consistent, and informed. With flexible data connections and a robust rules engine, Skematic helps firms build a surveillance process that can adapt to their broker landscape, compliance policies, and operating model.

What is employee trade surveillance software?

Employee trade surveillance software helps financial services firms monitor employee transactions and holdings for activity that may require compliance review. It applies configurable rules to brokerage data, identifies potential exceptions, routes activity for investigation, and preserves the record of the resulting decision. Skematic combines a trade rules engine with flexible broker data connections, security master support, compliance data operations, and connected review workflows for employee trading oversight.

What are the benefits of automating employee trade surveillance?

Better broker coverage: Use different feed and data connection methods without building a separate surveillance process for each one. More usable data: Standardize incoming information and improve security identification before applying surveillance logic. More precise monitoring: Apply configurable rules to transactions, holdings, and activity patterns rather than relying on simple transaction lists. Less manual preparation: Reduce the time spent collecting statements, normalizing data, and preparing activity for review. More focused investigations: Help compliance teams concentrate on potential exceptions instead of manually reviewing every record in the same way. Stronger defensibility: Preserve a clear history of the activity, rule, review, decision, and action associated with each surveillance matter.

What are key features to look for in a trade surveillance solution?

Essential key features include advanced analytics, reference data integration, custom reports, robust rules engine, and seamless integration across the compliance program. Solutions should support personal account dealing oversight, manage holdings, and align with internal policies.

Can firms customize their compliance program?

Yes. With configurable trade requests, defined escalation paths, and dynamic pricing, firms can tailor systems to their clients, users, and analysts. This ensures compliance programs reflect each firm’s unique structure, ethics, and focus on market integrity.

FINANCIAL SERVICES EMPLOYEE TRADE SURVEILLANCE

Personal trade surveillance built on better data and more intelligent rules

Skematic helps financial services compliance teams monitor employee trading with a robust trade rules engine, flexible broker data connections, FactSet Security Master support, and connected workflows for review and investigation.

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Effective trade surveillance starts with reliable data

Employee trade surveillance is only as strong as the data and logic behind it. Broker feeds vary in format and availability, security identifiers are not always consistent, and statement-based processes can leave compliance teams spending hours preparing data before they can begin a meaningful review.

Skematic brings those operational layers together. Flexible broker feed options, data operations, security master enrichment, and configurable trade rules help your team turn fragmented employee trading activity into structured surveillance information that can be reviewed, investigated, and documented.

Compliance without Compromise

ROBUST TRADE RULES ENGINE

Apply sophisticated surveillance logic to employee trading activity

Skematic’s rules engine helps compliance teams evaluate employee trading and holdings against the requirements configured for their code of ethics and surveillance program.

The engine supports more granular analysis than a basic transaction checklist, helping identify activity that may require further review.

Apply configurable rules to employee transactions and holdings.
Evaluate activity against requirements such as excessive trading and holding periods.
Cross-check employee activity against applicable compliance policies.
Identify potential exceptions for review.
Support consistent surveillance logic across employees, accounts, and activity types.
Refine rules as your firm’s compliance program evolves.

BROKER FEED FLEXIBILITY

Use the right data connection for each broker and account

No two firms have exactly the same broker environment. Some accounts can support direct feeds, while others may require an API connection or statement-based workflow.

Skematic gives your team flexibility in how brokerage data enters the surveillance process, helping you avoid forcing every account into the same connection model.

Connect through direct broker feeds where available.
Use Plaid APIs for supported account connections.
Apply AI Statement Extraction when statements are the available source.
Support different data paths across brokers and account types.
Reduce dependence on inflexible legacy feed infrastructure.
Bring incoming activity into a consistent surveillance workflow.

SURVEILLANCE DATA OPERATIONS

Turn fragmented brokerage data into usable compliance information

Trade surveillance requires more than receiving transactions. Data must be organized, interpreted, and associated with the right security, account, employee, and rule before it can support a reliable review.

Skematic supports the data operations behind surveillance, including security identification and normalization through FactSet Security Master.

Standardize security information across incoming broker data.
Use FactSet Security Master to support security identification and enrichment.
Organize transactions, holdings, accounts, and employee relationships for analysis.
Reduce manual preparation before surveillance rules are applied.

ALERTS, REVIEWS, AND CASES

Move from flagged activity to documented resolution

Surveillance is not complete when a rule identifies potential activity. Compliance teams need a structured way to review what happened, request additional information, document findings, and determine the appropriate next step.

Skematic connects surveillance activity to compliance review and case workflows so potential issues do not remain isolated in an alert queue.

Surface activity that requires additional review.
Provide reviewers with the relevant transaction and employee context.
Support follow-up and additional information requests.
Route potential issues into the appropriate review or case workflow.
Document findings, decisions, and actions taken.
Maintain continuity from initial alert through resolution.

AUDIT-READY RECORDKEEPING

Preserve the evidence behind every surveillance decision

A defensible surveillance program needs to show more than which trades were flagged. It needs to preserve the activity reviewed, the rule applied, the analysis performed, the decision reached, and the action taken.

Skematic creates a centralized, timestamped record of surveillance activity and related compliance workflows.

Preserve transaction, holding, and review history.
Record the relevant rule or condition associated with a review.
Maintain a history of reviewer activity and decisions.
Connect alerts to follow-up actions and compliance cases.
Make records easier to locate, review, and export.
Support a more consistent record for audits, exams, and internal oversight.

HOW IT WORKS

From broker data to documented surveillance decision

1. Bring in the data

Connect brokerage activity through direct feeds, Plaid APIs, or AI Statement Extraction, depending on the broker and account.

4. Surface potential exceptions

Identify activity that requires additional review, including patterns involving excessive trading, holding periods, or other configured conditions.

2. Organize the information

Use data operations and FactSet Security Master support to identify, standardize, and enrich security and transaction data.

5. Review and investigate

Give compliance reviewers the relevant employee, account, security, transaction, and policy context.

3. Apply surveillance rules

Evaluate employee activity and holdings against the rules configured for your code of ethics and compliance program.

6. Document the outcome

Record the findings, decision, follow-up, and related actions in a centralized compliance history.

Data and Broker feed flexibility

One surveillance program, multiple ways to bring in broker data

Direct broker feeds

For 1300+ supported brokers that can provide structured, ongoing data connections

Plaid APIs

For supported accounts where an API-based connection is the appropriate access method

AI Statement Extraction

For statement-based workflows where the available source is a brokerage statement upload rather than a direct or API feed

Build a more flexible and intelligent trade surveillance program

See how Skematic can help your compliance team connect broker data, apply sophisticated trade rules, route potential exceptions, and preserve a complete record of employee trading oversight.