User guide for AML screening
This document provides a detailed guide on using the AML (Anti-Money Laundering) Screening platform. This platform allows users to upload a CSV file containing details of entities or individuals for screening against various NDD (National Database of Defaulters) and AML databases. In case of a hit (i.e., the entity or person matches an entry in the databases), the corresponding cases will be created for further review.
The guide is organized based on the main sections of the AML Screening platform, as shown in the screenshots.
The Dashboard is the main entry point for accessing the AML Screening platform. It provides a quick overview of the activity on the platform, including:
- Daily Cases: Graph displaying the number of cases flagged each day.
- Monthly Cases: Graph showing the cases flagged per month.
- Employee Activity: A breakdown of employees with assigned incidents.
- Database Activity: An overview of the number of databases used for screening and the number of flagged incidents.
The Batch Upload section allows users to upload CSV files containing information about entities or individuals to be screened. The CSV file can contain multiple entries, and each will be processed against the defined AML databases.
- Steps to Upload a CSV:
- Navigate to the Batch Uploads section.
- Drag and drop your CSV file (or click to upload).
- Ensure the file size does not exceed the maximum limit of 5MB.
- Click on the Upload button to start the screening process.
After uploading, the platform will display Batch Details:
- Created By: The user who uploaded the batch.
- Request ID: Unique identifier for the upload request.
- Status: Shows the current status (e.g., Completed, Pending).
- Successful Requests: Number of requests successfully processed.
- Total Time: Time taken to process the batch.
Users can also download input and output files and get a report of the results.
The Cases section lists the flagged transactions or individuals that matched the AML screening criteria. These are considered potential risks and require further review by analysts.
- Filters: Users can filter cases based on various parameters, including assigned analysts, rules, risk levels, statuses, categories, and priorities.
- Case Details: Each case includes the following details:
- Risk Level: The assessed level of risk (e.g., Medium, High).
- Priority: The priority assigned to the case.
- Status: Current status of the case (e.g., Pending, Cleared).
- Request ID: Unique identifier for the request.
- PEP Result: Indicates if a Politically Exposed Person was identified.
Users can view and manage cases by applying filters and exporting case data for detailed review.
The Screening Config section allows administrators and compliance officers to manage databases and rules against which the entities and individuals are screened.
- Existing Databases: This section lists the databases used for screening (e.g., OFAC Sanctions, MCA Proclaimed Offenders).
- Risk Level: Specifies the default risk level (Medium, High, etc.) for each database.
- Priority: Displays the priority associated with each database for incident flagging.
- Status: Indicates whether the database is active or not.
Users can edit database configurations and update screening rules based on organizational policies.
The Users section provides an interface for managing the platform's user accounts. Each user has a role that determines their level of access and responsibility on the platform.
- List of Users: Displays the users who have access to the platform, along with their roles (e.g., Admin, Analyst).
- Role Assignments: Users are assigned specific roles such as Admin, Compliance Officer, or Analyst (L1, L2, L3). Each role has different permissions within the platform.
- Add/Edit Users: Admins can add new users, modify user roles, or edit existing users' details.
Users Page
The Settings Page allows users and administrators to configure various aspects of the Anti Money Laundering System, ensuring flexibility and customization across teams and operations. The following sections are available in the settings:
- General Settings: Configure system-wide defaults, such as statuses, risk levels, and categories used for cases and reports.
- Profile: Manage user-specific details such as contact information, role, and notification preferences.
- Organization: View and edit details related to the organization, including its name, structure, and key compliance configurations.
- Teams: Manage team-specific settings, such as generating API keys for integration and assigning team roles.
General Settings: This section allows admins to configure general platform settings such as case status labels, categories, risk levels, and roles. Everything you see here is configurable
- Status: Manage the different statuses for case management (e.g., Pending, Closed, Escalated).
- Categories: Define categories such as policy violation, chargeback, or fraud to classify cases.
- Risk Levels: Set up the different risk levels used in screening (e.g., Very Low, High, Critical).
- Roles: Create new roles or manage existing roles to assign to users.
Profile:The Profile Page in the Anti Money Laundering System allows users to manage and view their personal information and account settings. This page provides an easy interface for users to keep their profile up-to-date and ensure their account remains secure. The following details are displayed and editable:
- Name: The user's full name as registered in the system.
- Organization: The name of the organization the user belongs to.
- Email: The email address associated with the user's account.
- Phone Number: The contact number provided by the user.
- Job Title: The user's role or title within the organization.
- Users have the option to change their password directly from the Profile Page. This feature ensures that users can maintain the security of their accounts by regularly updating their passwords.
- The password change process includes confirming the current password and entering a new secure password.
The Profile Page provides a centralized place for users to manage their personal details and account security settings.
Organization Page: The Organization Page in the Anti Money Laundering System provides key details about the organization that the user belongs to. This page offers a clear view of the organization’s general information, ensuring that all relevant data is up-to-date and aligned with regional settings. The following information is displayed:
- Organization Name: The official name of the organization.
- Country: The country where the organization is based.
- Region: The region or state associated with the organization's location.
- Time Zone: The time zone in which the organization operates, ensuring system events are logged in the correct local time.
This page gives users and administrators a quick reference for the organization's key geographical and operational data.
Team Page The Team Page in the Anti Money Laundering System allows users to view and manage essential team-related configurations. The page includes the following key features:
1. Edit Button: In the Anti-Money Laundering (AML) system's Team Page, there is an Edit button that allows users to:
- Edit the team name
- Select or unselect databases such as Adverse Media, Politically Exposed Persons (PEPs), Exact Country Match, and other databases defined in the Screening Config. These databases are displayed with toggle options for selecting or deselecting them.
- Configure weightings for different criteria, including countryMatchScore, dobMatchScoreWeight, idNumberMatchScoreWeight, and more, ensuring that each criterion is appropriately weighted for the team's screening process.This functionality allows teams to customize their screening process according to specific risks and compliance needs.
2. Generate API Key: The Generate API Key button enables users to generate a unique API key for the team, which can be used to integrate external systems to send data into the monitoring system.
3. Create New Teams: Users also have the option to create new teams from the Team Page, allowing organizations to expand their Anti Money Laundering capabilities with additional teams configured according to their needs.
For additional details on team settings and API integration, please refer to the User Manual.
The AML Screening platform is a robust tool for managing and screening entities or individuals against multiple databases to identify potential risks. Through intuitive batch uploads, detailed case management, configurable screening rules, and comprehensive user management, this platform ensures compliance and proactive risk management for your organization.
For any assistance or further clarification, please refer to the relevant sections in this guide, and make use of the Help section available in the platform.
