AML Risk Manager for Investment Firms

Now more than ever, investment firms are being closely monitored and regulated for money laundering and fraud. To meet anti-money laundering (AML) requirements and mitigate risks, compliance officers need to be armed with processes and technology suited to the specific needs and risks of the investment industry. 

With its proven track record in the financial services industry, AML Risk Manager from Fiserv provides a risk-based approach based on your investment firm's unique risk profile to help you quickly and cost-effectively manage these challenges and meet your compliance obligations. 

AML Risk Manager provides comprehensive capabilities to detect, alert, manage and report money laundering threats, enabling analysts to focus on investigation.

Enhanced analytics and reporting combine with know your customer (KYC) capabilities, watch list filtering, customer risk profiling, risk scoring, transaction monitoring, regulatory reporting and more, to protect your interests and advance your AML program.

A Comprehensive Approach to Meet Compliance Requirements and Mitigate Risk

  

Streamline compliance operations to reduce costs

Improve investigation efficiency

Implement a risk-based approach to suspicious activity detection

Reduce false positives

Meet regulatory obligations

Integrated capabilities to effectively manage money-laundering risk and keep operational costs in check

Reporting and Enhanced Analytics

  • Multilayered approach detects financial crime through behavioral profiling, advanced analytics and risk scorecards as well as real-time, batch and peer group analysis
  • Automated, predefined regulatory and tax compliance reporting plus customizable dashboards enable quick analysis and decisive action
  • Evaluates risk alerts, based on machine-learning models and informed by historical outcomes of investigations, to more accurately identify, prioritize and process those alerts

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Learn More about Reporting

  

Monitoring

  • Increases accuracy and reduces false positives through integrated, customized alert and case management capabilities
  • Applies advanced inference strategies built on historical data analysis and outcomes of alert and case review to discover non-obvious transaction patterns 

  

Know Your Customer (KYC)

  • Create, complete, store and view custom due diligence questionnaires directly in the solution for easy tracking and paperless forms
  • Ensures required KYC data is collected for high-risk customers, including those in high-risk industries that require enhanced or specialized due diligence

  

Watch List Filtering

  • Innovative matching analytics and robust alert and case management features reduce operational costs, mitigate compliance risks and help achieve long-term regulatory, operational and IT objectives
  • Screens data such as customers, accounts, counterparties, transactions and vendor information against sanctions and politically exposed persons (PEP) lists, as well as custom lists and those provided by third-party data service providers
  • Customer risk scoring

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Learn more about how AML Risk Manager for Investment Firms leverages a risk-based approach, based on your firm’s unique risk profile, to help you quickly and cost effectively manage AML challenges and meet your regulatory obligations.

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