Your Surveillance Program Passed the Audit. Would It Survive an Exam?

Most compliance leaders believe their trade surveillance program is more than sufficient, right up until an examiner asks a question the dashboard can’t answer. Regulators care less about how many rules you have than whether those rules actually influence supervision, and whether you can show your work.

This guide breaks down where programs quietly fail, what examiners are really looking for and how to build a surveillance discipline that holds up under scrutiny, not just under review.

You’ll learn:

• The four core areas regulators focus on during exams
• The five most common surveillance failure modes
• Why high alert volume reads as weakness to examiners
• The shift from trade-level to behavioral surveillance
• What a strong, audit-ready program looks like in practice
• Ten self-assessment questions for pressure-testing your own program