AML compliance is a tough job and requires constant attention in order to meet changing requirements and fraud scenarios. Read about one way to reduce your AML compliance workload. About Alessa, a CaseWare RCM product: Alessa is a financial crime detection, prevention and management solution offered by CaseWare RCM Inc. With deployments in more than 20 countries in banking, insurance, FinTech, gaming, manufacturing, retail and more, Alessa is the only platform organizations need to identify high-risk activities and stay ahead of compliance. To learn more about how Alessa can help your organization ensure compliance, detect complex fraud schemes, and prevent waste, abuse and misuse, visit us at caseware.com/alessa. Connect with us online: Visit the Alessa WEBSITE: https://www.caseware.com/alessa/ Follow Alessa on LINKEDIN: https://www.linkedin.com/caseware-alessa Follow Alessa on TWITTER: https://twitter.com/casewarealessa SUBSCRIBE to Alessa on YouTube: http://tiny.cc/Alessa

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Reduce your AML compliance
workload

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• $140 million in fines
• BNP sentenced to five years probation
• Said to be functioning as the “central bank for the government of Sudan”
• Heavy fines were meant to act as a warning to other financial institutions
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$8.83B in forfeitures on BNP
These fines could have been even higher –
this sentence was imposed following the
terms of a heavily negotiated plea deal.

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• Seized 10 years of files from compliance team
• “Organizational failings” found at fault for AML violations
• Imposed after a previous $1.9 billion fine for its role in aiding money laundering
by Mexican drug cartels
3
HSBC pays £28m in fines
Despite previous heavy fines and changes,
HSBC was still unable to avoid new penalties.

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If you don’t meet the legal requirements, you will face hefty
fines, reputational damage and criminal charges.

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AML compliance is overwhelming

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You can maintain compliance all within a single platform.

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Alessa - AML compliance solution
Customer Due Diligence
List Screening
Sanctions and
internal lists, PEPs,
negative news, etc.
Identity
Verification
Risk Profiling
Onboarding API
Transaction Monitoring
Transaction
Screening
Sanctions and internal
lists, high risk
countries, anomalies,
etc.
Fraud
Detection
Anomaly detection,
link analysis, rules,
etc.
Regulatory Reporting
Auto-Filing
SARs, CTRs, STRs, etc. across multiple jurisdictions
Analytics Investigations
Transactions
Customer Data
Events
Third-Party Data
DataManagement
Repository Profile Anomaly
Segmentation
Predictive
Link Analysis
Decision LearningCase ManagementRules Engine
Scoring Engine Workflow Enterprise Search
Infrastructure
Security, Privacy, Certification, Deployment Manager
User Experience
Visualizations, Dashboards, Reporting, KPIs
Compliance
Operations

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Quickly find suspicious transactions
Alessa

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Like dormant account activation…

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Keep complete picture of customers

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Risk scores automatically updated

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Customer risk profile update

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Periodic screening for high-risk customers
Alessa

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Stop high-risk transactions with real-time screening

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Sanctions list alert

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Be assured with world-check data

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Automatically generate regulatory reports

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Submit reports electronically

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Don’t let your compliance program control your life. Instead,
create a culture of compliance within your organization.

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Investigate what matters

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Perform due diligence on high-risk items

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Use workflows for work items

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Data analytics makes compliance easier
Alessa Engine

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Dashboards: visualize your program

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Dashboards: visualize your program

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Much to gain from one platform

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IT’S TIME TO TAKE CONTROL OF YOUR
COMPLIANCE PROGRAM
www.alessa.caseware.com
aml@caseware.com