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RISK& COMPLIANCE

PROTECT YOUR BUSINESS REPUTATION
BY MITIGATING REGULATORY COMPLIANCE RISKS

RISK&COMPLIANCE
The platform helps financial and non-financial institutions to manage their risk & compliance tasks regardless the size or specifics of their business
RISK&COMPLIANCE PLATFORM
IN THREE EASY STEPS
  • COLLECT DATA
    Collect information on customers/counterparties and their transactions from different systems (core banking, public registers, etc.). Enjoy benefits of a single information environment for convenient representation of data
  • VERIFY DATA
    Verify data based on configurable control scenarios (risk level, suspicious transactions, suspicious customer activities, etc.)
  • TAKE MEASURES
    Suspend transactions or block accounts upon detection of suspicious transactions and risks (use requests for details, reasoned opinion, monitoring of matches, AML/CTF questionnaires, investigations)
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platform development
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out-of-the-box control scenarios
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successful implementations
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verified transactions per second

BUSINESSARCHITECTURE

AML
  • Mandatory control (identification of customer business activities and transactions that are subject to mandatory control)
  • Identification of unusual and suspicious transactions
  • Identification of suspicious business activities of a customer
  • Reporting
  • Identification of the risk level
  • AML/CTF forms
Customer Screening
READ MORE
  • Download of watch lists of suspicious persons and entities (support of multiple watch lists)
  • Support of custom watch lists
  • Detection of matches with watch list entries during pre-screening
  • Detection of matches against watch list entries by customer/ counterparty or by transaction
  • Analysis of matches
  • Reporting on matches
FATCA*
  • Identification of US tax residents among individual and business customers
  • Identification of contracts (accounts) that belong to US residents
  • IRS reporting** (Form 8966)
  • Reporting by local reporting standards

* Foreign Account Tax Compliance Act

** Internal Revenue Service of the USA

CRS*
  • Identification of tax residents of foreign states and persons or entities without residence
  • Identification of contracts (accounts) that belong to residents of foreign states or persons without residence
  • Reporting to local tax authorities

 

 

* Common Reporting Standard

Limit Management
  • Monitoring if limits are up-to-date and if the limit amount has been reached
  • Reserving limits for planned transactions
  • Approval of excess limits
Monitoring of Loan Agreements
  • Monitoring of execution of terms and conditions of the loan agreement (usage of the loan for the approved purpose; timely payment of the loan principal, interest and fees)
  • Monitoring of the borrower’s financial position
  • Monitoring of the borrower’s cash flows
  • Assessment of availability, safe-keeping and integrity of the collateral
  • Manual and automatic processing of results of the monitoring with the pre-set frequency
  • Identification of bad credits based on results of the monitoring

PLATFORMFEATURES

  • Online and offline control
  • Single-screen access to data for verification and decision-making by a responsible person
  • Flexible intuitive setup of monitoring scenarios
  • Out-of-the-box monitoring rules
  • Analysis based on the set of objects for the selected period
  • Automatic processing of controlled objects
  • Automatic reporting
  • Support of generation of requests to company customers and employees
  • Notification of responsible employees on important events in the system
  • Centralized storage of all important system events
  • Multiple filters for selection of required data
  • Monitoring of dates of update of data and risk levels
  • Easy implementation of other platform components as and when needed

BUSINESSADVANTAGES

  • Mitigation of risks that can cause sanctions, penalties or reputational damages
  • Quick support of regulatory changes
  • No significant investments: a customer can implement separate platform components as and when needed and plan its budget based on the current tasks
  • Ability to expand the set of implemented components to solve all tasks of the Risk & Compliance department

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    ARCHITECTURALPRINCIPLES

    SOFTWARE DEVELOPMENT PRINCIPLES
    • Open, reliable, scalable, event-driven, microservice architecture
    • Applications (Packaged Business Capabilities, PBCs *) and their services are created by a single team and for all channels at once
    • Development of PBCs is based on technological low-code development platforms that comprise the digital transformation ecosystem
    • Technological platforms and channels do not contain any product logic
    • Use of the standard stack of technologies and focus on open-source software
    UI/UX PRINCIPLES
    • Omnichannel, process-oriented environment for all user functions
    • Use of the same UX/UI logic in all channels
    • Single system for user identification in all channels
    • Management of functions that are available in each channel at the user level
    • RPA and AI
    • Each business development platform comprises all PBCs that cover all needs of a specific user group

    CONTACT US

    If you have any questions on the Risk&Compliance platform, please contact us using the form on the right

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