• Finding it hard to manage AML/CFT audit outcomes?

    The AML/CFT Health Check includes a workflow for managing actions, issues and risks which are reflected real-time in the operational dashboards.

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Transformational AML/CFT audit, risk and compliance software

Track compliance against obligations, manage actions, issues and risks and obtain big data analytic insights on compliance data!

Item Management – Actions, Issues and Risks Tracking

Creating New Items

Creating new items can be done in one of two ways:

The first method is from within the main AML/CFT Health Check page by adding an item to the regulatory line item, this is typically done, for example if a compliance rating was assigned as partially compliant to list the mitigating actions that are being committed to being undertaken to address the compliance gap.  Using this approach in the item details screen the ‘linked regulation line item’ is created as a hyperlink, which is drillable back to the source and is displayed as a pop-up.

The second method is to click on Items in the main menu then Create Item.  This provides a screen allowing the user to enter a summary description of the item, define the item type, item status and target end dates for resolution, as well as, assign this to an owner hierarchy (e.g. Group, Division, Team and Individual).

Supporting evidence can also be attached to the particular item and a more detailed description and resolution details can be added.

When additional comments are added, these are stored along with date/timestamp to enable a full audit history of item management to be available at any time. Items can also be printed, emailed or downloaded to PDF allowing items to be effectively managed in external forums (i.e. team meetings).

Managing items (actions, issues and risks)

The term ‘Items’ in the context of the AML/CFT Health Check relates to Actions, Issues and Risks, which can be added to regulatory requirements and typically outlines activities required to be undertaken to close identified compliance gaps.

The top panel allows items to be searched based on the item type (e.g. actions, issues or risk), item status (e.g. closed, open, in-progress or on-hold), assigned to (e.g. group, division, team or individual), start and end date ranges of those that contain certain key words.

The bottom panel provides a summary of Items with the same attributes as above – further detail can be found by clicking on the Item ID, which takes the user to the Item detail screen.

Another key feature is the ability to apply Bulk updates to multiple items simultaneously, which saves time, for example in re-assigning open items if a staff member transfers or leaves the organisation.

By clicking on the Item ID, this takes the user into the detail of the item.

Item Status Dashboard

The purpose of this dashboard is to provide real-time analytics on the status of items (e.g. actions, issues or risks) by Group, Division, Team or Owner.

The Item Status Dashboard displays a summary across the entire organisation or can be refined to show just the status of items relating to a specific AML/CFT Health Check.

All of the pie-charts are ‘drillable’, meaning that users can click on any of the pie segments and will be taken to the specific items that make up that quadrant.

The operational dashboards can be printed, emailed or downloaded to PDF.

Imagine walking into your next compliance committee armed with this level of information!

Outstanding Item Dashboard

The purpose of this dashboard is to provide an aged view of item status.

The dashboard displays items that have exceeded the target end date, broken down across different date ranges which highlight how overdue items are.

The intention of this dashboard is to highlight items that are not being managed in a timely manner and can assist prioritisation of the most overdue items, first.

The AML/CFT Health Check also has a ‘Notification Management’ feature for defining rules for email notification and escalation for items which exceed the target end date by different time criteria (e.g. 8-14 days overdue).

This is helpful as users will receive email notifications that an item is awaiting their attention.

Item Trend Dashboards

As well as the real-time operational dashboards for tracking the current status of actions, issues and risks, we developed the following series of Item Trend Dashboards that provide historical trending analytics:

  • Daily, Monthly and Yearly Item Creation – how many of each item type have been created within a specified time period
  • Current Status on Daily, Monthly and Yearly Item Creation – what is the current status of each item type have been created within a specified time period
  • Daily, Monthly and Yearly Item Status Change Activity – what is the trend on changes to each item status within a specified time period

Daily, Monthly and Yearly Item Creation Dashboard

Current Status on Daily, Monthly and Yearly Item Creation Dashboard

Daily, Monthly and Yearly Item Status Change Activity


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