Case Management

Key Challenges

  • Ability to consolidate at one location all the customer information, documents, review comments, findings of a case pertaining to a suspicious activity investigation.
  • Seeking opinions from relationship managers, operation managers, senior management, before deciding to file regulatory report for an investigated case.
  • Establishing disciplined case management process through well defined workflow that is not limited to the compliance team alone.
  • Responding to regulatory investigation requests quickly by furnishing all the information & documentation that is requested for.

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KYCsphere Solution

If a single or a group of alerts need to be escalated for further suspicious activity investigation, these could be converted into a full-fledged case within KYCsphere's Case Management tool. Such a case would automatically pull together associated transactions, entity profile and submitted documentation. Additionally the case could be manually enriched with case review comments from managers across the institution, additional documents and scanned images obtained during the investigation process. The tool allows for seeking review comments and authorizations from senior management prior to regulatory reporting. In addition to a well defined work-flow, the tool maintains audit trail of every user action, including regulatory reports filed on the basis of an investigated case.

The KYCsphere's Case Management tool therefore is suited to automate manual suspicious activity investigation policies, procedures & processes. It automatically queues and distributes investigation tasks, sends reminders for delayed tasks, maintains history & audit trail and monitors the entire process until completion. It makes the investigative process comprehensive, timely and efficient, while substantially enhancing the productivity of the compliance team. This feature-rich tool can give your institution market agility and regulatory flexibility without any capital expenditure and with the least of IT intervention.

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Key Benefits

  • It offers centralized electronic repository of all the information & documents pertaining to a customer's suspicious activity investigation including customer profile & proof documents captured with the Customer On-Boarding tool; screening performed through Screening against Watch/Sanction lists & Politically Exposed Person Search tools; risks calculated & due diligence performed with the help of Risk and Compliance Management & Customer Due Diligence tools; alerts generated & past cases created by Alert Management & Case Management tools; associated transactions & look-backs of previous transactions monitored by Fraud and Money Laundering Monitoring tool and suspicious transactions reports filed that are generated by Regulatory Reporting tool.
  • Allows you to further enrich the case with review comments from managers from other departments, additional documents and scanned images obtained during the suspicious activity investigation process, customer interaction notes, audio & video clips, customer activity in other lines of businesses, customer specific regulatory investigation & government orders received.
  • Seek review & authorizations from multiple senior management team members through a well defined workflow, prior to taking a decision to file a suspicious activity report.
  • Create, assign and manage investigation related tasks, create case ownerships, capture end-to-end audit trail and case history to ensure that the resolved case stands most severe of regulatory scrutiny & criminal investigation against any of your customers.

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