Video Content Analysis for Compliance Audit in Finance and Security Industry

Abstract

The quality and accessibility of modern financial service have been quickly and dramatically improved, which benefits from the fast development of information technology. It has also witnessed the trend for applying artificial intelligence related technology, especially machine learning to the finance and security industry ranging from face recognition to fraud detection. In particular, deep neural networks have proven to be far superior to traditional algorithms in various application scenarios of computer vision. In this paper, we propose a deep learning-based video analysis system for automated compliance audit in stock brokerage, which in general consists of five modules here: 1) Video tampering and integrity detection; 2) Objects of interest localization and association; 3) Analysis of presence and departure of personnel in a video; 4) Face image quality assessment; and 5) Signature action positioning. To the best of our knowledge, this is the first work that introduces remote automated compliance audit system for the dual-recorded video in finance and security industry. The experimental results suggest our system can identify most of the potential non-compliant videos and has greatly improved the working efficiency of the auditors and reduced human labor costs. The collected dataset in our experiment will be released with this paper.

Keywords

• Compliance audit
• dual record
• video content analysis
• deep learning
• object localization
• action recognition