Case Management

Automated FCC case management capabilities, combined with monitoring and alerts, enable investigators to perform more effectively and help mitigate financial crime risk. The focus of any financial crime compliance (FCC) program is the investigation of suspicious activity. A centralized FCC case management system is the solution for the growing need of financial institutions to follow unified and consistent investigations processes and controls within their fraud and FCC programs. Firms can achieve significant business efficiencies with an integrated fraud and FCC investigations platform.


ComplyGenics has expertise in implementing a Centralized case management solution that provides a fully integrated case management solution to streamline compliance operations and help investigators organize, prioritize and manage investigations – while creating a permanent audit trail for regulatory review if needed. All relevant information related to a case can be stored and easily updated as new information and evidence are uncovered.

  • Efficiently organize, prioritize, and manage investigations

  • Provide flexible case and content workflows

  • Offer highly configurable capabilities

  • Provide audit trail

  • Reduce the risk of money laundering

Data Integration

Investigations are often data-intensive and time-consuming. They require investigators to review customer information, transactions and account activity from many different core systems to form the clearest possible picture of suspicious events. Centralized case management can integrate data into a unified data model from disparate core systems through the open architecture of the OneSumX Financial Crime Control solution. It can also establish linkages between different entities, e.g. between customers and accounts, and present them to investigators contextually within cases and reports. This functionality enables investigators to be more productive and reduces the burden on IT for support.

Centralization of Multiple Case Types

Across a financial institution, there are many types of fraud and unlawful activity that require investigation, e.g. payments fraud, checking fraud and employee fraud. Centralized case management can be configured to support multiple investigation types and templates, as each one may require different information to be collected.

Workspaces can also be configured so that only users within a given workspace can make updates to alerts or cases assigned to them; for instance, if they are assigned by fraud type. Centralizing all investigations in this manner has the added benefits of enabling better management oversight, and ensuring greater communication and information sharing across different departments and workgroups. For example, an investigator can see what other cases may exist for a given customer, i.e. showing the aggregate, or ongoing activity of the customer. Such consolidation can contribute to better investigations and, with that, minimized financial losses, better regulatory compliance and minimized reputational risk.


Centralized case management has fully configurable workflow to support an institution's organizational structure, policies, procedures and processes. Within a given workflow, Centralized case management can be configured to perform automated actions, such as Email notifications and prompting users to enter information or executing tasks.

Suspicious Activity Reporting

Centralized case management provides a Suspicious Activity Report (SAR), i.e. for activity the financial institution decides to report to FinCEN. SAR documents the financial institution's review and analysis of the activity in question. This functionality provides a thorough completion of SAR so that it meets the regulatory requirement to contain adequate decision, documentation and narrative information. It also ensures a timely filing of SAR documents (related functionality includes the ability to e-File SAR.) Ultimately, these abilities also allow FinCEN, law enforcement, regulatory authorities, and intelligence agencies to take further action as needed.

Executive Information & Productivity Metrics Reporting

Centralized case management is designed with a built-in reporting engine and dashboard builder. With a user-friendly reporting wizard, non-technical end-users can create powerful reports. These reports can also be saved in a graphical format and then incorporated into a dashboard. There can be multiple dashboards in Centralized case management, and dashboards can be configured, enabled and/or restricted according to user role. For example, executive reports for senior management can track year-to-date losses, recoveries and potential losses, while productivity reports for team leaders can summarize open cases by investigator.

Bringing together FCC and fraud programs offers many benefits, including:

  • Break down silos between fraud and FCC compliance functions.
  • Gain a holistic, singular view of suspicious customer behavior across FCC and fraud.
  • Increase collaboration among all financial crime investigations teams within a financial institution.
  • Transfer alerts and cases easily when FCC and fraud are within the same investigation platform.
  • Alerts can be transferred to the FCC or fraud investigations efficiently after the initial triage is complete. This results in fewer duplicate SARs and more thorough SAR filings.
  • Eliminate redundant investigations and display all FCC and fraud alert history for the same subject. With access to more comprehensive information, investigators can find resolutions rapidly.
  • Much of the data required to detect money laundering is the same data that is needed to prevent fraud. A single case management solution enables sharing common data between fraud and FCC, such as accounts and subject demographic data, KYC, transactional activities or account closure.
  • The centralization of data provides a holistic view of a customer’s relationship with the bank and any concerns involving the investigated entities.
  • Most of the requirements of the fraud and FCC investigations functions are similar. Teams can reduce overlapping functionality in IT systems by building once and reusing the same functions across both FCC and fraud.
  • Reduce costs by removing redundant processes and systems.
  • Decrease case management software license fees and maintenance costs.
  • Improve controls and consistency by having a single SAR filing platform

Centralized Case Management: The Benefits

Financial institutions can benefit from a centralized and automated FCC case management in the following ways:

Logo Comply.png