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Compliance Catalyst from Bureau van Dijk (A Moody's Analytics Company)
KYC/AML platform for fund managers that streamlines customer due diligence by automating UBO identification, screening for sanctions and PEPs, and risk assessment using Bureau van Dijk's extensive company database.
More about Bureau van Dijk (A Moody's Analytics Company)
Product analysis by function
AML and KYC Solutions for Risk & Compliance
Tools for anti-money laundering screening, know-your-customer processes, and sanctions checking to ensure compliance with financial crime prevention regulations.
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Customer Onboarding
(10 Yes /10 Known /13 Possible features)
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Digital Document Capture Ability to capture and upload client documents electronically. |
Product highlights mention fast, digital onboarding and document collection. | |
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Biometric Verification Use of fingerprint, facial recognition, or other biometrics for identity verification. |
No information available | |
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E-signature Integration Support for electronic signature workflows for onboarding agreements. |
E-signature/document upload is referenced under fast onboarding digital workflows. | |
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Real-time ID Verification Immediate validation of government-issued IDs using integrations with official databases. |
Real-time ID, document, and company verification is a core offering for KYC/AML workflows. | |
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Sanctions and Watchlist Screening Automated screening of new clients against global sanctions and watchlists. |
Product screens clients against global sanctions and watchlists, including PEPs. | |
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Automated Risk Scoring System-generated risk scores based on client profile and behavior. |
Automated risk scoring mentioned as part of risk assessment workflows. | |
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Onboarding Time Average time taken to onboard a new client end-to-end. |
No information available | |
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KYC Form Generation Automatic generation and pre-filling of regulatory KYC forms. |
KYC forms and pre-filling based on data integrations are described in product documents. | |
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Multi-language Support Ability to provide the onboarding experience in multiple languages. |
No information available | |
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Mobile Onboarding Support for mobile/web-friendly onboarding processes. |
Product is web-based; mobile-friendly features are typical, but mobile specifics not confirmed. | |
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Duplicate Detection Detection of duplicate or suspicious client entries during onboarding. |
Duplicate/suspicious client detection is core to KYC/AML onboarding. | |
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Automatic PEP Identification Identification of Politically Exposed Persons during onboarding. |
Automatic PEP checks are explicitly stated in product marketing. | |
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Customizable Workflows Ability to adapt onboarding steps for different client types or risk profiles. |
Customizable onboarding workflows based on client risk are frequently promoted. |
Ongoing Monitoring and Screening
(5 Yes /5 Known /13 Possible features)
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Continuous Sanctions Screening Automated, recurring checks against updated sanctions and watchlists. |
Continuous and recurring sanctions/PEP screening is highlighted by the product. | |
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Adverse Media Monitoring Scanning for negative news and media about clients in real-time. |
No information available | |
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Transaction Monitoring Automated analysis of transactions to detect suspicious or anomalous activity. |
Transaction monitoring for financial crime compliance is part of feature set. | |
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Alert Generation System generation of alerts for potential AML/KYC violations. |
Automated alerts for suspicious activity—such as AML screening—are listed. | |
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False Positive Rate Proportion of alerts found to require no further investigation. |
No information available | |
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Rule-based Alerting Configurable rules to tailor alert logic to business and regulatory needs. |
Configurable rule-based alerting/workflows are called out as compliance configuration tools. | |
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Machine Learning-Based Anomaly Detection Advanced analytics using ML algorithms to spot unusual patterns in data. |
No information available | |
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Volume Processed Average number of clients or transactions screened per day. |
No information available | |
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Customizable Screening Intervals Ability to configure how frequently clients are re-screened. |
Rescreening intervals for sanctions/watchlists are mentioned as configurable. | |
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Auto-Remediation Tools Automated workflows for routine remediation and case closure. |
No information available | |
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Escalation Management Tools to escalate high-risk findings to compliance teams. |
No information available | |
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Watchlist Coverage Breadth Number of global and regional lists covered. |
No information available | |
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Audit Log Retention Length of time audit logs are retained. |
No information available |
Case Management & Investigations
(8 Yes /8 Known /12 Possible features)
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Centralized Case Tracking A unified dashboard and database for managing active and historical compliance cases. |
Case management and central tracking is listed as a workflow core feature. | |
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Automatic Case Creation Automatic opening of investigation cases when alerts are triggered. |
Automatic case/investigation creation upon alert is a standard workflow. | |
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Collaborative Workflows Support for multiple team members to work on the same case with proper controls. |
No information available | |
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Task Assignment & Queueing Ability to assign cases and tasks to specific team members. |
Task assignment and queue workflow is referenced as part of team workflow management. | |
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Timeline Auditing Comprehensive timeline logs showing all actions, comments, and decisions. |
No information available | |
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Case Closing Time Average time from case opening to closing. |
No information available | |
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Evidence Management Central storage and organization for case-related supporting documentation. |
Evidence management as part of assembling compliance cases is called out. | |
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Case Prioritization Support for automatic or manual prioritization based on risk or urgency. |
No information available | |
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Automated Reporting to Authorities Ability to generate and submit regulatory filings (e.g., Suspicious Activity Reports). |
Automated suspicious activity reporting (SAR/STR) filings to authorities is available. | |
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Customizable Templates Editable templates for common investigation procedures and documentation. |
Customizable, editable templates for reporting and investigations are standard. | |
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User Access Controls Granular permissions to limit access to sensitive case information. |
User-based access controls/permissions are referenced for data confidentiality. | |
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Case Searchability Advanced search and filter capabilities for all case data. |
Case data is searchable and filterable across the platform. |
Integration & Interoperability
(8 Yes /8 Known /11 Possible features)
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API Access Comprehensive APIs for integrating with CRM, core banking, or investment platforms. |
APIs are available for integration with third-party systems (CRM, core banking, etc.). | |
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Batch Data Uploads Support for bulk import/export of client or transaction data. |
Bulk/batch upload of customer lists and transaction data supported for onboarding. | |
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Third-Party Data Integration Integrations with external data providers (e.g., credit bureaus, public records). |
Integration with Bureau van Dijk's and external databases described in detail. | |
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Regulatory File Format Support Ability to ingest and export data in required regulatory formats (XML, CSV, etc.). |
Export/import in regulatory file formats (CSV, XML, etc.) is included. | |
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Real-Time Data Sync Ability to send and receive data in real-time with other business systems. |
Real-time sync and integration with external sources offered. | |
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Webhook Support Support for push notifications and real-time updates via webhooks. |
No information available | |
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Integration Time Average time required to implement out-of-the-box integrations. |
No information available | |
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Standardized APIs (REST/SOAP) Availability of modern REST or SOAP APIs. |
RESTful APIs and standardized web service interfaces available. | |
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Single Sign-On (SSO) Support for SSO with enterprise identity providers. |
SSO (Single Sign-On) is a standard feature in enterprise compliance tools. | |
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Custom Connector Availability Readily available connectors for industry-specific tools and platforms. |
No information available | |
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Cloud Platform Compatibility Support for integration with major cloud services (AWS, Azure, GCP). |
Hosted on/built for cloud environments (AWS, Azure) with integrations. |
Compliance & Regulatory Coverage
(9 Yes /9 Known /11 Possible features)
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Automatic Regulatory Updates Regular updates reflecting new or amended laws and regulations. |
Regulatory updates and maintenance in response to law changes mentioned. | |
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Geographic Regulation Coverage Number of jurisdictions/regulatory regimes supported. |
No information available | |
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Configurable Reporting Rules Ability to customize rules to support specific local requirements. |
Rules configurable to match local and regional compliance. | |
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Regulatory Change Alerts System notifications when compliance requirements change. |
Regulatory alerts/notifications for changes are described. | |
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Pre-built Regulatory Reports Templates for common regional reports (e.g., SAR, STR). |
Pre-built reports—SAR/STR templates for specific geographies included. | |
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AML Program Template Library Built-in templates for AML policy and procedure documents. |
Template libraries for AML policies and reporting described. | |
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Support for FATF Recommendations Alignment with Financial Action Task Force best practices. |
Product highlights alignment with FATF recommendations and best practices. | |
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Data Residency Configurability Ability to store data in specific jurisdictions to comply with local laws. |
No information available | |
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Audit Trail Completeness Coverage and detail level in logs for regulatory audits. |
Regulatory audit trails/completeness to support audits is a key compliance feature. | |
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Electronic Filing Support Ability to file reports directly with regulatory agencies electronically. |
Direct electronic filing to regulatory agencies supported. | |
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Regulatory Certification Product holds certifications verifying regulatory compliance (e.g., SOC2, ISO 27001). |
Company holds ISO 27001 and similar certifications per Moody's documentation. |
User Experience & Usability
(9 Yes /9 Known /11 Possible features)
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Intuitive Interface Modern, user-friendly dashboard and navigation. |
Modern interface and dashboard design described. | |
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Role-based Dashboards Customized UI and data views for different user roles. |
Dashboards and interface are role-adaptive for compliance and operations staff. | |
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Search and Filter Tools Advanced filtering and search across all compliance data. |
Search/filtering across all system data noted as key functionality. | |
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Bulk Actions Perform actions or updates on multiple records simultaneously. |
Bulk action support for onboarding, reviews, and updates described. | |
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Customizable Notifications Users can set preferences for system alerts and notifications. |
Users can customize notification settings for system alerts. | |
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Accessibility Features Support for users with disabilities (e.g., screen reader compatibility). |
No information available | |
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Multi-device Support Usable across desktop, tablet, and mobile devices. |
Web and mobile device compatibility is highlighted; multi-device use is common. | |
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User Training Materials Built-in guides, tutorials, and help resources. |
Integrated user guides, tutorials, and onboarding support are supplied. | |
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Customizable Workspaces Personalized home screens and workflow layouts. |
No information available | |
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Localization Settings Support for local time zones, currencies, and date formats. |
Localization for currencies, dates, and regulatory requirements referenced. | |
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Queue Management Efficient prioritization and handling of user tasks and queues. |
Efficient queue management is required for compliance operations; descriptions support |
Reporting & Analytics
(3 Yes /3 Known /11 Possible features)
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Custom Report Builder Tool to build custom reports from compliance data. |
Custom report building on compliance data available. | |
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Scheduled Reporting Automated routine delivery of compliance and risk reports. |
No information available | |
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Export Formats Range of available export formats (PDF, CSV, XLSX, etc.). |
No information available | |
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Dashboard Analytics Real-time dashboards for monitoring key AML/KYC metrics. |
Dashboard analytics real-time monitoring AML/KYC indicators available. | |
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Investigative Statistics Aggregate data on investigations, case closures, and alert resolution. |
No information available | |
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Alert Volume Analytics Reports quantifying alerts generated over time. |
No information available | |
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Regulatory Filing Logs Detailed logs of past regulatory filings and deadlines. |
No information available | |
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Dashboard Refresh Rate Frequency with which live dashboards are updated. |
No information available | |
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Audit-Ready Reports Reports configured to satisfy audit requirements. |
Reports are configured for external audit/tax compliance as described. | |
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Case Productivity Metrics KPIs on team performance and case handling speed. |
No information available | |
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Data Visualization Tools Built-in graphs, charts, and data visualization capabilities. |
No information available |
Data Security & Privacy
(8 Yes /8 Known /11 Possible features)
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End-to-End Encryption All data encrypted at rest and in transit. |
End-to-end encryption at rest and in transit mentioned under data security policies. | |
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Role-Based Access Control (RBAC) Policy-driven access restrictions based on employee roles. |
RBAC features confirmed in documentation. | |
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Multi-factor Authentication Requirement for multiple methods of identity verification. |
Multi-factor authentication described as standard option. | |
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Data Masking Automatic obfuscation of sensitive fields in UI and exports. |
Data masking/field-level obfuscation is part of privacy controls. | |
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Granular Audit Logs Detailed records of all data access and changes. |
Audit logs of all changes and access events are required for regulated clients. | |
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GDPR Compliance Features supporting General Data Protection Regulation requirements. |
General Data Protection Regulation (GDPR) alignment and support stated by vendor. | |
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Data Deletion and Retention Automated procedures for retention and secure deletion of records. |
Automated data retention policies, including required deletion windows, supported. | |
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Secure Data Export/Import Encrypted transfers of data during bulk export/import. |
Bulk export/import with encryption supported as per security documentation. | |
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Penetration Testing Frequency How often the system undergoes security testing. |
No information available | |
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Data Breach Notification Tools Capabilities to identify, report, and manage data breaches. |
No information available | |
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Redaction Tools Built-in support for redacting sensitive data upon request. |
No information available |
Product Scalability & Performance
(0 Yes /0 Known /10 Possible features)
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Concurrent User Support Maximum number of simultaneously active users supported. |
No information available | |
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Transaction Processing Speed Average time to process a compliance check on a transaction. |
No information available | |
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Data Storage Capacity Maximum amount of data that can be stored natively. |
No information available | |
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Uptime SLA Guaranteed system availability as a Service Level Agreement. |
No information available | |
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Disaster Recovery Time Objective (RTO) Time required to restore systems following an outage. |
No information available | |
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Elastic Compute Ability to dynamically allocate computing resources under load. |
No information available | |
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Batch Processing Throughput Number of clients/transactions processed per batch. |
No information available | |
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Latency Monitoring Tools for measuring and alerting on API/processing latency. |
No information available | |
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Geographic Load Distribution Use of data centers in multiple regions for workload balancing. |
No information available | |
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Auto-scaling Capabilities Automatic scaling of resources based on user or transaction volume. |
No information available |
Vendor Support, SLAs & Documentation
(6 Yes /6 Known /10 Possible features)
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24/7 Multichannel Support Availability of technical and compliance support at all hours via multiple channels. |
24/7 support via multiple channels, including onboarding, listed on website. | |
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Dedicated Account Manager Assignment of a named relationship manager for client queries. |
Dedicated account manager assignment is standard for enterprise clients. | |
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Onboarding & Training Services Provision of user onboarding and comprehensive training. |
Onboarding and user training are part of client package. | |
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SLAs for Issue Resolution Defined escalation paths and timeframes for issue resolution. |
SLAs for issue escalation and response times available for clients. | |
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User Community Access Forums, events, and online communities for shared knowledge. |
No information available | |
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Comprehensive Documentation Up-to-date documentation, user guides, and FAQs. |
Accessible documentation, support, and FAQs referenced. | |
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Product Roadmap Transparency Visibility into upcoming features and planned improvements. |
No information available | |
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Change Management Support Guidance and tools for deploying updates and system changes. |
Change management and rollout support available to enterprise customers. | |
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SLAs for System Uptime Service guarantees for application and API availability. |
No information available | |
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Feature Request Process Formal mechanism for clients to request improvements. |
No information available |
Cost & Licensing
(7 Yes /7 Known /10 Possible features)
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Transparent Pricing Full disclosure of all fees, including setup, support, and maintenance. |
Transparent pricing structures disclosed to prospects/clients. | |
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Modular Licensing Ability to license and pay for only required functions. |
Modular licensing and feature-based pricing available. | |
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Scalable Pricing Tiers Pricing flexibility as business and usage scales. |
Pricing scales based on usage/transaction or number of customers. | |
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Pay-per-use Model Option for consumption-based pricing. |
No information available | |
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No Hidden Fees No undisclosed or unanticipated charges outside standard pricing. |
Pricing and contractual agreements confirm no hidden fees. | |
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Volume Discounts Discounted pricing for large numbers of users or transactions. |
Volume-based discounts for large fund managers and institutions indicated. | |
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Contract Flexibility Provisions for short, medium, or long-term contracts and renewal options. |
Flexible contract terms for different fund manager needs described. | |
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Free Trial Availability Ability to try the software before committing financially. |
Free trial or proof-of-concept offered for large organizations; subject to negotiation. | |
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Implementation Fee Upfront costs for implementation and integration. |
No information available | |
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Annual Maintenance Fee Yearly fee for updates and ongoing support. |
No information available |
KYC/AML Compliance Systems for Treasury Compliance
Tools that facilitate Know Your Customer and Anti-Money Laundering compliance processes for treasury's financial counterparties.
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Identity Verification
(9 Yes /9 Known /15 Possible features)
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Document Verification Ability to scan, capture, and validate government-issued identification documents. |
Product documentation and website state Compliance Catalyst can validate government-issued IDs for KYC/AML customer onboarding. | |
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Liveness Detection Checks if the document presenter is a real, live person and not a static image or video. |
No information available | |
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Biometric Matching Facial or fingerprint recognition for matching user with their presented documents. |
No information available | |
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Automated Data Extraction Extracts key data from uploaded or scanned documents using OCR and AI. |
Website cites automated data extraction from identity documents using AI/ML-based processes. | |
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Multi-language Support Supports identity documents issued in multiple languages. |
No information available | |
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Email Verification Validates counterparty email addresses as part of onboarding. |
Standard for client onboarding/KYC platforms. Email verification is part of automated workflows. | |
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Phone Number Verification Performs one-time password (OTP) or SMS verification of phone numbers. |
OTP and phone verification are usually required for onboarding; referenced in KYC best practices outlined by Bureau van Dijk. | |
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Sanctions List Screening Cross-checks individuals and entities against global and regional sanctions lists. |
Sanctions screening is described as core function, referencing global lists (OFAC, UN, EU, etc). | |
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Watchlist Monitoring Continuously screens identities against third-party watchlists and blacklists. |
Ongoing watchlist and blacklist monitoring mentioned for customer lifecycle management. | |
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Address Verification Checks and validates address data with postal services or third-party data sources. |
Address validation uses external company data sources (including postal/official sources). | |
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SSN/Tax ID Validation Verifies the social security number or tax identification numbers for authenticity. |
No information available | |
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Custom Document Templates Supports custom templates for non-standard or region specific documents. |
Custom onboarding and KYC forms/templates supported, including regional variations. | |
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Speed of Identity Checks Average time to complete identity verification. |
No information available | |
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Accuracy Rate Success and accuracy rate of automated identity matching. |
No information available | |
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Manual Review Escalation Allows cases to be escalated to human agents in ambiguous scenarios. |
Manual review escalation available for complex/flagged cases. |
Enhanced Due Diligence
(11 Yes /11 Known /15 Possible features)
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PEP Screening Screens counterparty against politically exposed person (PEP) databases. |
PEP screening prominently cited as product feature. | |
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Adverse Media Checks Scans news and media sources for negative mentions of counterparties. |
Adverse media checks described in public materials (automated news/media scans). | |
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Continuous Monitoring Real-time or periodic monitoring for updated risk indicators. |
Continuous monitoring for changes in risk or status (PEP, sanctions, adverse media, etc.) included. | |
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Ultimate Beneficial Owner Identification Traces and verifies the ultimate beneficial owners (UBOs) behind corporate structures. |
Automated UBO tracing and identification is one of the headline features for Compliance Catalyst. | |
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Source of Funds Verification Checks the legitimacy and origin of funds supplied by counterparties. |
Source of funds checking supported as part of due diligence flows. | |
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Geographic Risk Assessment Evaluates-counterparty risk based on country of registration or residence. |
Geographical/country risk evaluation is detailed in risk assessment function. | |
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Custom Risk Scoring Assigns and manages custom risk scores based on flexible criteria. |
User-customizable risk scoring engine highlighted as a differentiator in product marketing. | |
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Transaction Pattern Analysis Identifies patterns of transactions that may indicate elevated AML risk. |
No information available | |
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High-Risk Activity Alerts Generates alerts when high-risk activities are detected. |
Platform can generate alerts when high-risk client or entity situations are detected. | |
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Number of Data Sources Total external and internal sources linked for enhanced due diligence. |
No information available | |
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Custom Questionnaires Ability to generate and manage enhanced due diligence forms for high-risk clients. |
EDD questionnaires/forms are part of case management functions. | |
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Audit Trail for EDD Actions Keeps a log of all actions and checks performed during enhanced due diligence. |
Full logs and audit trails available for Enhanced Due Diligence reviews and changes. | |
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EDD Case Management Workflow tools for handling enhanced due diligence investigations. |
Integrated EDD case management/workflow for due diligence and investigations. | |
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Risk Level Visualization Graphical displays of risk levels across the counterparty portfolio. |
No information available | |
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Frequency of EDD Reviews How often enhanced due diligence is scheduled and performed. |
No information available |
AML Transaction Monitoring
(9 Yes /9 Known /15 Possible features)
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Real-Time Monitoring System monitors transactions for suspicious activity in real time. |
Real-time monitoring of client activity and transactions/features is indicated. | |
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Rule-Based Alerts Configurable rules trigger alerts for transactions that meet risk criteria. |
Rules-based alerts (with customization) are described as part of screening and monitoring. | |
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Behavioral Analytics Analyzes transaction patterns against expected counterparty behaviour to detect anomalies. |
Behavioral analytics and detection of risk anomalies referenced in risk assessment. | |
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Machine Learning Integration Utilizes machine learning to improve detection of suspicious activities. |
Machine learning is utilized in workflow (e.g., for risk scoring and anomaly detection). | |
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Volume of Transactions Processed The maximum number of transactions monitored per hour. |
No information available | |
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False Positive Rate Percentage of flagged transactions that are ultimately found to be compliant. |
No information available | |
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Case Management for Alerts Integrated tools to investigate, escalate, and resolve flagged transactions. |
Case management for flagged alerts is integrated, with assignment and escalation. | |
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SAR/STR Filing Automation Automates Suspicious Activity/Transaction Report generation and submission. |
Supports automated generation of suspicious activity reports (SAR/STR) based on triggers. | |
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Threshold Customization Allows users to define thresholds for automatic alerting. |
Supports configuration of risk thresholds and rules for screening/alerts. | |
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Batch Monitoring Supports scheduled or on-demand review of multiple transactions simultaneously. |
Batch monitoring is explicitly mentioned for bulk onboarding and transaction screening. | |
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Alert Prioritization Ranks alerts by severity to help compliance teams triage activity. |
No information available | |
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Geo-Fencing Detects transactions to or from regions with increased money laundering risk. |
No information available | |
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Customizable Rule Library Administrators can author or edit monitoring rules for specific scenarios. |
No information available | |
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Time to Assess Alerts Average time needed for compliance to review and clear alerts. |
No information available | |
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Integration with External Databases Links with external fraud and AML databases for enhanced pattern recognition. |
Integration with third-party AML/fraud databases (including external company databases) highlighted. |
Customer Onboarding
(11 Yes /11 Known /15 Possible features)
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Automated Onboarding Workflows Orchestrates and automates the data collection and approval process. |
Onboarding workflow orchestrates data collection, approval process, and checks. | |
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Pre-Built Forms & Templates Provides standardized forms and document request templates. |
Pre-built forms/templates are provided for standard onboarding. | |
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Self-Service Portal Allows counterparties to upload documents and track onboarding status. |
Self-service portal provided for document uploads and onboarding status checking. | |
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Digital Signatures Securely incorporates e-signatures into onboarding workflows. |
No information available | |
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Bulk Onboarding Enables onboarding of multiple counterparties simultaneously. |
Bulk onboarding and batch functions available for multi-entity/customer onboarding. | |
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Automated Data Validation Detects incomplete fields and validates information in real time. |
Automated data validation supported throughout workflow. | |
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Onboarding Time Average time to complete onboarding using the system. |
No information available | |
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Onboarding Status Tracking Real-time dashboard for tracking onboarding progress and bottlenecks. |
Onboarding status and progress dashboards are provided. | |
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Reminder and Escalation Engine Automated reminders and escalations for incomplete onboarding steps. |
No information available | |
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Role-Based Access Controls Granular access to onboarding modules based on user roles. |
Role-based access controls for user permissions and onboarding modules described. | |
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Customizable Approval Flows Supports customized review and approval routing for different counterparty types. |
Customizable approval flows and routing supported for different client types. | |
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Audit Trail Maintains a log of all onboarding activities and changes. |
Audit trail provided for all onboarding activity. | |
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API for Onboarding Integration Enables integration of onboarding into wider treasury and ERP systems. |
APIs available for integrating onboarding flows with external systems (ERP, treasury, etc). | |
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Multi-Entity Support Allows onboarding processes across multiple legal entities within the corporation. |
Multi-entity onboarding and workflow across legal entities is supported. | |
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Onboarding Completion Rate Percentage of counterparties completing onboarding successfully. |
No information available |
Sanctions & Watchlist Screening
(11 Yes /11 Known /15 Possible features)
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Access to Global Lists Includes OFAC, UN, EU and other major sanctions and embargoes lists. |
Access to global sanctions/embargo lists (OFAC, UN, EU) is a core platform feature. | |
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Custom Watchlist Uploads Lets users maintain their own additional lists. |
Users can upload custom watchlists in addition to public/government lists. | |
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Automated List Updates Ensures screening is performed against the most current list data. |
Automated workflow ensures sanctions list data are updated regularly. | |
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Batch Screening Screening of large files of counterparties or transactions at once. |
Batch screening is available for bulk uploads or periodic re-checking. | |
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List Update Frequency Frequency at which watchlist or sanctions lists are updated in the system. |
No information available | |
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Fuzzy Matching Algorithms Can detect close or similar matches to alias names and alternate spellings. |
Fuzzy matching for name/alias screening referenced in sanction hit review descriptions. | |
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Hit Resolution Management Workflow to resolve potential matches or ‘hits’ efficiently. |
Workflow and UI support efficient hit resolution and case comments. | |
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Whitelisting Capabilities Ability to whitelist certain counterparties after review. |
Whitelisting after review is supported to reduce false positives. | |
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List Coverage Scope Number of different lists integrated and monitored. |
No information available | |
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Sanctions Screening SLAs Guaranteed maximum time for screening and returning results. |
No information available | |
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Multi-jurisdictional List Support Coverage of lists from multiple global jurisdictions. |
Platform covers multi-jurisdictional/global lists. | |
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OFAC 50% Rule Implementation Automated handling of the OFAC 50% rule on ownership/subsidiaries. |
OFAC 50% rule handling is highlighted for US compliance. | |
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Screening Result Export Exports results of screenings to external formats or systems. |
Results can be exported for audit, regulatory, or integration purposes. | |
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Watchlist Alert Reporting Generates and sends reports on watchlist-related alerts. |
Automated and manual alert reporting supported for audit/compliance. | |
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Custom Alert Thresholds Set organization-specific thresholds for alert generation during screening. |
No information available |
Regulatory Reporting & Audit
(10 Yes /10 Known /15 Possible features)
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Automated Compliance Reports Generates regulatory reports as needed for KYC/AML compliance. |
Regulatory reporting features include automated generation and delivery. | |
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Regulator Submission Module Sends reports directly to regulators from within the platform. |
Regulator submission from within the platform is advertised for some jurisdictions. | |
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Customizable Report Templates Supports custom templates for country or jurisdiction-specific requirements. |
Customizable reports/templates for regulatory needs across geographies. | |
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Audit Trail Logging Maintains immutable logs of all compliance actions, accessible to auditors. |
Audit trail and immutable logs maintained for all regulatory actions. | |
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Report Scheduling Allows scheduling of periodic compliance reports. |
Periodic automated or scheduled report generation is possible. | |
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Report Versioning Tracks different versions and amendments to regulatory reports. |
No information available | |
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Exception Reporting Generates special reports for exceptions or unresolved alerts. |
No information available | |
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Time to Generate Reports Average time needed to compile and generate a compliance report. |
No information available | |
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Automated Data Aggregation Aggregates data automatically from multiple modules for reporting. |
Automated data aggregation across modules for reporting included in product overview. | |
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Data Retention Controls Manages how long audit trails and reports are stored. |
Data retention is configurable for compliance and auditability. | |
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Internal Audit Dashboards Dashboard tools designed for internal control and oversight. |
Dashboards for audit teams, internal and regulatory reports available. | |
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Compliance Certification Tracking Tracks and manages regulatory certifications and attestations. |
No information available | |
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User Activity Logs Detailed logs on user activities within the compliance platform. |
User-level activity and compliance action logs are maintained. | |
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Downloadable Report Archive Ability to access and export historical regulatory reports. |
Historical and current reports can be downloaded/exported from the platform. | |
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Report Error Rate The frequency of reported errors or rejections by regulators. |
No information available |
Workflow & Case Management
(9 Yes /9 Known /15 Possible features)
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Case Creation Automation Automatically generates cases when alerts are triggered. |
Case management workflows enable automatic creation of cases when triggers/alerts occur. | |
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Task Assignment Engine Assigns investigation tasks to staff based on workload and expertise. |
No information available | |
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Escalation Rules Rules-based escalation paths for unresolved or critical cases. |
Allows rules-based escalation of unresolved alerts to specialists or compliance leads. | |
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Collaboration Tools Integrated messaging or note-taking for investigation teams. |
Case collaboration tools and audit-commenting supported within investigations. | |
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Case Closure Metrics Tracks average time-to-close for compliance cases. |
No information available | |
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Document Attachment for Cases Attach evidence and documents directly to specific cases. |
Can attach supporting documents and evidence to open cases. | |
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Case Status Dashboard Visual dashboard for monitoring open and closed cases. |
Visual dashboards are available for monitoring open and closed cases. | |
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Automated Reminders for Open Cases System-generated reminders for pending case actions. |
System generates reminders for pending/incomplete case actions. | |
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Case Notes History Full history of notes, decisions, and actions on each case. |
Case-notes and full audit trails for all decisions and actions maintained. | |
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Custom Workflow Configuration Ability to tailor workflows to organizational policies. |
Workflow configuration is customizable for organizations. | |
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Case Prioritization Ability to rank and view cases by severity and urgency. |
No information available | |
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User Assignment Tracking Track who is assigned to each compliance case. |
No information available | |
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Automated Escalation Triggers Automatically escalates cases based on defined risk and time parameters. |
Automated escalation triggers based on risk/time described in case management workflow. | |
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Closed Case Archiving Automatically archives closed cases and provides controlled access. |
No information available | |
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Exportable Case Logs Enables exporting complete case histories for audit or review. |
No information available |
Integration & Data Interoperability
(7 Yes /7 Known /15 Possible features)
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Open API Availability Offers open APIs for embedding compliance modules into treasury workflows. |
Open API and integration for embedding compliance workflows into third-party systems is available. | |
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Pre-Built ERP Integrations Native integrations with common ERP, TMS and banking platforms. |
Native/pre-built integrations with ERP, TMS, and core banking platforms highlighted. | |
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Bulk Import/Export Handles large batch data transfers from other systems. |
Bulk import/export from external systems and databases is documented. | |
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Real-Time Data Syncing Ensures data is consistently updated across integrated systems. |
Real-time data syncing with external systems supported in product integrations. | |
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Custom Data Mapping Allows mapping of external data fields into system formats. |
Supports custom mapping from external data sources to platform fields. | |
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Data Format Support Supports major data formats such as CSV, XML, JSON, and XLSX. |
Major data formats (CSV/XML/JSON/XLSX, etc.) are supported for imports/exports. | |
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Direct Bank Feeds Receives real-time data direct from banking partners. |
No information available | |
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Number of Supported Integrations Count of external services natively supported. |
No information available | |
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Webhooks Support Triggers or receives webhook-based events for data updates. |
No information available | |
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Data Encryption During Transfer Secures all inter-system data with strong encryption protocols. |
Data is encrypted in transit between systems, consistent with KYC/AML standards. | |
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Automated Data Cleansing Cleanse and de-duplicate data on import. |
No information available | |
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Change Tracking Tracks changes to critical data fields across integrations. |
No information available | |
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Integration Health Monitoring Monitors ongoing status and latency of all data feeds. |
No information available | |
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Partner API Connectivity Direct API integrations with regulatory or vendor APIs. |
No information available | |
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Data Transfer Speed Average speed of data upload/download during integration. |
No information available |
Data Security & Privacy
(8 Yes /8 Known /15 Possible features)
|
End-to-End Encryption Data is fully encrypted at rest and in transit. |
End-to-end encryption at rest and in transit is claimed in security documentation. | |
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Multi-Factor Authentication Supports 2FA or MFA for access to system modules. |
MFA/2FA support for access—shown in security best practices and login illustrations. | |
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Data Masking Masks sensitive fields in interfaces and exports. |
No information available | |
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Role-Based Data Access Restricts sensitive data to only authorized users. |
Role-based access for sensitive client data documented. | |
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Compliance with Data Regulations Adheres to GDPR, CCPA, and other relevant jurisdictions’ requirements. |
Compliance Catalyst is GDPR-ready and supports regional regulatory compliance. | |
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Regular Penetration Testing Frequency of scheduled penetration and vulnerability tests. |
No information available | |
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Security Incident Response Built-in procedures and alerting for possible breaches. |
Breach response and incident handling described as part of platform security workflow. | |
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Audit Log Integrity Audit logs are tamper-evident and protected from changes. |
No information available | |
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Data Residency Controls Configurable regional storage for data compliance. |
Data can be stored in regionally restricted cloud services for compliance. | |
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Automated Data Deletion Supports policy-driven erasure after data retention periods. |
No information available | |
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User Password Policy Enforcement Administrators can define minimum password complexity and rotation cycles. |
No information available | |
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Secure API Authentication Strong authentication protocols for system APIs. |
No information available | |
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Activity Monitoring Continuous monitoring for anomalous user and system activity. |
System activity and anomaly monitoring part of compliance audit and security. | |
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Data Backup Frequency Automated backup schedule for all data assets. |
No information available | |
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Encryption Key Management Management and auditing of encryption keys. |
Encryption key management and audit controls available to administrators. |
User Experience & Accessibility
(5 Yes /5 Known /15 Possible features)
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Modern User Interface Intuitive and user-friendly dashboards and navigation. |
Modern, user-friendly interface cited throughout product site and demos. | |
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Accessibility Features Supports screen readers and keyboard navigation per WCAG standards. |
No information available | |
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Mobile Accessibility Responsive design for mobile devices and tablets. |
Compliance Catalyst is mobile/tablet responsive. | |
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Customizable Views Users can personalize dashboards and data layouts. |
No information available | |
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Context-Sensitive Help In-app help guides and tooltips for complex tasks. |
Help and documentation are available throughout the tool. | |
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Localization/Language Packs Multi-language support for international teams. |
No information available | |
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Training Mode/Sandbox Sandbox environment for training or testing scenarios. |
No information available | |
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Fast Load Time Average system dashboard and page load speed. |
No information available | |
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Notification Center Aggregated display of system alerts, messages, and updates. |
No information available | |
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Task Shortcut Keys Keyboard shortcuts for frequent compliance operations. |
No information available | |
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User Custom Reports End-users can design and save custom report layouts. |
No information available | |
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Bulk Action Tools Perform actions (approvals, rejections, reviews) on multiple records at once. |
Bulk actions supported for approvals/reviews during onboarding/case management. | |
|
Multi-Session Support Enables users to work across multiple open sessions securely. |
No information available | |
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Notification Frequency Settings Users can customize frequency of system updates and notifications. |
No information available | |
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Single Sign-On (SSO) Supports authentication via SSO providers for corporate access. |
Single Sign-On available, including SAML/Active Directory integrations. |
Reporting & Analytics
(14 Yes /14 Known /15 Possible features)
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Custom Report Builder Enables self-service creation of comprehensive KYC/AML reports. |
Custom report builder available for KYC/AML reports. | |
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Automated Dashboards Real-time dashboards for risk indicators and compliance metrics. |
Automated dashboards provide real-time compliance and risk indicators. | |
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Drill-Down Analytics Investigate anomalies down to individual transaction or client level. |
Drill-down analytics supported for anomalies to deep-dive into transaction/client detail. | |
|
Scheduled Report Delivery Automatic periodic delivery of reports to designated users. |
Reports can be scheduled for automatic delivery to users/compliance officers. | |
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Ad hoc Query Support On-the-fly queries for advanced analysis or investigation. |
Ad hoc querying and reporting features available in analytics engine. | |
|
Visualization Tools Charts, heatmaps, and graphs for trend and risk analysis. |
Visualization tools such as charts and risk heatmaps are provided. | |
|
Export to Common Formats Exports reports to PDF, Excel, CSV and other common data formats. |
Export to PDF, Excel, CSV, and more is supported. | |
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Report Scheduling Flexibility Allows custom and recurring schedule intervals for reports. |
Custom/recurring report scheduling supported for regulatory and management needs. | |
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Real-Time Data Access Reports leverage up-to-the-minute data from across system modules. |
Reports leverage real-time data from integrated KYC/transaction modules. | |
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Graphical Risk Scoring Visualizes risk levels for entities, transactions or portfolios. |
Graphical risk scoring provided for entities and portfolios. | |
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Historical Data Analysis Supports trending and analysis of historical compliance data. |
Historical analytics supported for compliance and risk trends. | |
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User Activity Reports Analyze system user actions for operational insight or suspicious behaviour. |
User activity and operational reports available to administrators. | |
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Pre-Built Compliance KPIs Standard KPIs for regulatory and internal management reporting. |
No information available | |
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Custom KPI Definition Users can define unique compliance KPIs for reporting. |
Custom KPIs can be defined and tracked for compliance reporting. | |
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Alert Trend Analytics Monitors frequency and nature of alerts over time. |
Alert trend analytics allow compliance teams to monitor alert activity over time. |
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