Transaction monitoring · by ArkNite Solutions

Watch every account and trade — automatically.

HAWK is an automated compliance and risk surveillance platform. It monitors your accounts, trading, and onboarding data against dozens of alert rules, raises a case the moment something looks wrong, and routes it through a review workflow — with a full audit trail.

Request a demo See how it works

40+ alert rules Fully customisable Daily & monthly scans Case workflow

In active development · screens shown are sample data

Why manual surveillance fails

No team can watch every account and every trade.

Compliance and risk obligations grow faster than headcount. When monitoring is manual, breaches surface late — often after they've become a problem.

Too much to watch

Thousands of accounts and trades, dozens of rules — no analyst can cover it by hand.

Found too late

Expired documents, breaches, and anomalies come to light long after the deadline.

Alerts in spreadsheets

Findings live in ad-hoc trackers, with no severity, no owner, and no SLA.

No audit trail

When the regulator asks how something was handled, the answer is hard to reconstruct.

How it works

Scan. Detect. Case. Review.

HAWK runs your alert rules on a schedule, raises a case for every breach it finds, and drives each one to closure through a defined workflow.

Scan

Alert rules run daily, monthly, or on their own cadence across your data.

Detect

Each breach is flagged against onboarding, compliance, risk, or trade rules.

Case

A case is auto-created with a severity and a turnaround-time target.

Review

Analysts investigate, escalate, and close — every action logged.

Rules run on schedule · cases raised automatically · every step on the record

Coverage

Surveillance across every domain you answer for.

HAWK ships with more than 40 alert rules spanning onboarding data quality, AML, market conduct, and account classification — and every rule set is fully customisable to your requirements.

Onboarding

Client data quality, documentation, and account lifecycle.

FATCA / LEI expiryExpired passportPEP gapsOverdue reviewsDormant accounts

Compliance

AML, trading-pattern anomalies, and regulatory breaches.

High-risk countriesFunds vs approved SSIContinuous gain/lossError-account tradesUnknown products

Risk

Account classification and margin-facility anomalies.

SEG / NSEG mixMargin vs classificationUnclassified accounts

Trade

Abnormal trading-desk activity.

Inactive account tradingSEG into NSEG counterparty

The workspace

Every case, ranked and ready to work.

Surveillance dashboard

The whole surveillance picture at a glance.

Live case counts, what's critical, what's unreviewed, a breakdown by domain and severity, and where every case sits in its lifecycle — so the team always knows what to work next.

Cases by domain & severity
Critical and unreviewed, up top
Run a scan on demand

Case queue

Filter, prioritise, assign.

Every generated case in one queue — the rule that fired, the client and group, its domain, severity, status, and age. Filter by domain or severity and route work to the right analyst.

Filter by domain & severity
Severity and status on every row
Role-based assignment

Case detail & workflow

Investigate, escalate, and close — on the record.

Open a case to see the rule that fired, the client context, and why it triggered — then move it through Unreviewed, In Review, Escalated, and Closed, with every action written to the audit log.

Alert & client context in one view
Unreviewed → In Review → Escalated → Closed
Comments & actions logged for audit

Workflow & severity

A defined path from alert to closure.

Every case follows the same lifecycle, carries a severity and a turnaround-time target, and is visible only to the roles allowed to see it.

STAGE 1

Unreviewed

Auto-generated, awaiting an analyst.

STAGE 2

In Review

Assigned analyst is investigating.

STAGE 3

Escalated

Referred to a senior compliance officer.

STAGE 4

Closed

Resolved with a documented outcome.

CRITICAL

HIGH

MODERATE

NORMAL

TAT / SLA per rule

Role-based access

Why brokers run HAWK

Catch more. Miss less. Prove it.

Nothing goes unwatched

Rules run on schedule across every account and trade — automatically.

Ranked by severity

Critical and high-severity cases rise to the top, with a turnaround target.

Auditable by design

Every case, comment, and decision is logged — ready for the regulator.

Built on your data

Runs on your back-office and onboarding data — no separate source to maintain.

FAQ

Questions teams ask.

What does HAWK monitor?

Client accounts, trading activity, and onboarding data — across four domains: onboarding (KYC and lifecycle), compliance (AML and trading patterns), risk (account classification), and trade (desk activity). Coverage is defined by a library of alert rules.

How are alerts turned into work?

When a rule detects a breach, HAWK creates a case with a severity and a turnaround-time target, and routes it to the right role. Analysts move it through Unreviewed, In Review, Escalated, and Closed — every step recorded.

How often does it run?

Rules run on their own cadence — daily for time-sensitive checks like dormant accounts and continuous gain/loss, monthly for most, and longer intervals where that fits the control. Scans can also be run on demand.

Who can see which cases?

Access is role-based: each alert maps to the roles allowed to see and work its cases, so analysts only see what's theirs and sensitive findings stay contained.

Where does the data come from?

HAWK runs on your existing back-office and onboarding data as part of the ArkNite platform, so there's no separate feed to build or reconcile.

Let's talk

See what HAWK would surface.

HAWK is in active development. We'll walk you through the surveillance dashboard, the alert-rule library, and the case workflow — and scope it to your obligations.

info@arknite.com � +91 99209 34442 � arknite.com