How to create a manual exception from selected trades

While automated monitoring rules flag potential violations automatically, compliance officers often identify trade activity during routine reviews that requires deeper investigation. This guide walks you through escalating a specific trade into a manual compliance exception directly from the surveillance dashboard.

1. Locate the trade in Account Surveillance: Navigate to the Account Surveillance module to review recent trading activity across your monitored accounts. Find and select the specific trade that warrants closer scrutiny.

2. Escalate the trade: From the trade's action menu or detail view, select the option to escalate it into a manual exception.

3. Provide exception details:
   • Title: Enter a clear, descriptive title summarizing the focus and context of the review.
   • Severity: Select an appropriate severity level reflecting the risk profile and potential regulatory impact of the activity.

4. Finalize and log: Confirm the details and submit the form to finalize the exception.

Next Steps

Once finalized, the exception is immediately logged into your organization's compliance workflow. It can now be assigned to team members, tracked with audit logs, and managed through remediation and closure.