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SAP Treasury and Risk Management (Compliance Module) from SAP
Includes tools for regulatory and internal compliance, such as sanctions monitoring, risk exposure checks, policy controls, configurable workflows, audit logs, segregation of duties, and compliance reporting.
Product analysis by function
Compliance Monitoring Tools for Treasury Compliance
Solutions that continuously monitor treasury activities against defined compliance rules and thresholds, generating alerts for potential violations.
More Compliance Monitoring Tools
More Treasury Compliance ...
Core Compliance Monitoring
(10 Yes /10 Known /13 Possible features)
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Real-Time Monitoring Ability to monitor transactions and treasury activities in real-time. |
Product note and SAP documentation indicate real-time transaction monitoring as part of treasury compliance controls. | |
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Rule-Based Engine Configurable engine to define, manage, and update compliance rules. |
SAP Compliance Module offers configurable workflows and rules engines as part of compliance monitoring. | |
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Automated Violation Detection System automatically detects and flags activities that breach compliance rules. |
Automated detection and flagging included in policy and risk exposure checks. | |
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Coverage Breadth Number of treasury domains or modules under monitoring (e.g., payments, investments, FX, liquidity). |
No information available | |
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Multi-Regulation Support Ability to support and update multiple regulatory regimes (e.g., SOX, Dodd-Frank, EMIR, GDPR). |
SAP is used globally and provides support for multiple regulations (e.g., SOX, GDPR, EMIR, Dodd-Frank). | |
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Threshold Sensitivity Granularity by which thresholds or limits can be defined for compliance alerts. |
. | No information available |
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Frequency of Checks Interval at which compliance checks are performed. |
. | No information available |
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Historical Data Analysis Can the system analyze past activity for compliance reviews? |
Historical data analysis enabled by audit logs and retrospective compliance reviews. | |
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Batch vs. Continuous Monitoring Allows switching or combining periodic and real-time monitoring options. |
Supports both real-time and scheduled batch compliance options. | |
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Audit Trail Generation Maintains immutable records of compliance events and monitoring activities. |
Audit trail generation is a standard feature for compliance and policy controls in SAP modules. | |
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Exception Handling Mechanisms for managing, escalating, and resolving exceptions and false positives. |
Exception management and workflow escalation are part of compliance controls. | |
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Data Integrity Verification Ensures the monitored data is complete, consistent, and accurate. |
Data integrity checks are a core function of SAP compliance and auditing modules. | |
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Alert Prioritization Ability to rank and prioritize alerts based on criticality and impact. |
Alert prioritization can be configured in workflow and compliance rules. |
Alerting and Notification
(7 Yes /7 Known /11 Possible features)
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Multi-Channel Alerting Can send alerts via email, SMS, dashboards, or push notifications. |
SAP provides alerts via multiple channels, including email and in-system notification. | |
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Customizable Alert Templates Users can configure the content and format of compliance alerts. |
Alert templates are customizable in SAP workflow and compliance solutions. | |
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Escalation Workflows Automated workflows to escalate unresolved or critical compliance violations. |
Escalation workflows can be established in SAP compliance configuration. | |
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Alert Acknowledgement Tracking Tracks user responses and acknowledgements for each alert. |
SAP tracks alert acknowledgment and user actions as part of workflow control and audit. | |
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Alert Resolution Time Average time to acknowledge and resolve compliance alerts. |
. | No information available |
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Severity Level Classification Allows classification of alerts by severity (e.g., Low, Medium, High, Critical). |
Alerts and violations can be classified by severity in SAP compliance modules. | |
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Audit Logging of Alerts Maintains an audit trail for alerts sent, received, and acted upon. |
All alerts have audit logging as part of SAP's overall audit trail capability. | |
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Repeat Notification Thresholds Configurable settings for repeated notifications/escalations if alerts remain unresolved. |
. | No information available |
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Alert Analytics & Dashboard Visualization and reporting of alert history, trends, and statuses. |
. | No information available |
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Integration with Incident Management Can connect with external incident or case management systems. |
SAP supports integration with incident/case management systems such as ServiceNow. | |
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User-specific Notification Preferences Supports user-defined preferences for receiving alerts. |
. | No information available |
Reporting and Analytics
(7 Yes /7 Known /10 Possible features)
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On-demand Report Generation Users can generate compliance reports at any time. |
On-demand reporting is included as a core function of SAP compliance tools. | |
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Scheduled Reporting Automates the production and distribution of recurring compliance reports. |
Scheduled automated reporting is supported for compliance activities. | |
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Custom Report Builder Enables users to create custom reports tailored to specific requirements. |
Custom report builders are available in SAP's reporting suite. | |
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Visualization Tools Dashboards and charts to visualize compliance trends and KPIs. |
SAP offers dashboard and visualization tools for compliance and risk monitoring. | |
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Export Capabilities Supports exporting reports in multiple formats (PDF, Excel, CSV, etc.). |
Compliance and audit reports can be exported in a range of formats (PDF, Excel, CSV, etc.). | |
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Automated Distribution Ability to automatically distribute reports to defined recipients. |
Automated distribution capabilities are part of SAP reporting system. | |
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Access Controls for Reports Supports user-level permissions for viewing or modifying reports. |
Access control for compliance reports is managed via SAP roles and permissions. | |
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Drill-down and Filtering Users can drill down into detailed data and filter by parameters. |
. | No information available |
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Historical Comparisons Report tools allow comparison of compliance performance over time. |
. | No information available |
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Exception Reporting Automated highlighting of outlier or exception events. |
. | No information available |
User Management and Security
(7 Yes /7 Known /9 Possible features)
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Role-Based Access Control (RBAC) System restricts access based on user roles and permissions. |
Role-based access control is a core feature of SAP security architecture. | |
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Single Sign-On (SSO) Integration with identity providers for seamless and secure authentication. |
SAP supports SSO integration using various identity providers. | |
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Multi-factor Authentication (MFA) Provides multi-level user authentication for enhanced security. |
MFA is supported through SAP and integrated identity solutions. | |
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Activity Logging Records all user actions and sessions for forensic and audit purposes. |
Activity logging is a core SAP auditing and compliance function. | |
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Data Encryption (In-Transit/At-Rest) Protects sensitive treasury and compliance data via encryption. |
Data encryption (in-transit/at-rest) is standard for SAP cloud and on-premises. | |
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User Provisioning/De-provisioning Automated management of user access throughout employment. |
SAP provisioning/de-provisioning managed via integrated IAM. | |
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Password Policy Enforcement System enforces complexity, expiration, and change policies for passwords. |
Password policies are configurable and enforced in SAP security. | |
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Session Timeout Automatic logout after a set period of inactivity. |
. | No information available |
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Access Audit Reports Ability to generate reports on system access and user activity. |
. | No information available |
Integration & Interoperability
(6 Yes /6 Known /9 Possible features)
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API Availability Standard APIs for seamless integration with internal or external systems. |
SAP provides standard APIs for integration with external/internal systems. | |
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ERP/TMS Integration Ability to integrate directly with ERP or Treasury Management Systems. |
ERP/TMS integration core to SAP's value proposition. | |
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Real-Time Data Feeds Supports live data connectivity to and from other systems. |
. | No information available |
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Bank Data Integration Connects with banks for real-time bank statement monitoring. |
SAP Bank Communication Management allows direct bank statement monitoring. | |
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Third-party Data Source Support Integrates data from external regulatory or reference sources. |
Third-party data source integration supported for regulatory/reference feeds. | |
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Custom File Import/Export Permits bi-directional data flows with custom file formats. |
Custom file import/export processes can be configured in SAP. | |
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Integration Support for Cloud Platforms Can connect with cloud-based apps/services (e.g., Azure, AWS, GCP). |
SAP supports integration with all major cloud providers and services (Azure, AWS, GCP). | |
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Number of Supported Integrations Number of unique external systems integrated. |
. | No information available |
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Data Synchronization Frequency Interval at which data is synchronized with connected systems. |
. | No information available |
Configurability & Customization
(9 Yes /9 Known /9 Possible features)
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Custom Rule Authoring Users can define their own compliance conditions and thresholds. |
Custom rule authoring via compliance configuration and workflow customization. | |
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Dynamic Thresholds Thresholds can be set to auto-adjust based on treasury context or risk profile. |
Thresholds can be dynamically managed with context-aware settings. | |
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Localization/Internationalization System supports multiple languages and regional compliance requirements. |
System localization and multi-regional compliance are supported in SAP. | |
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Reporting Customization Allows users to customize layout and content of compliance reports. |
Users may customize compliance reporting outputs in SAP. | |
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Custom Workflow Configuration Administrators can design and implement bespoke compliance workflows. |
Custom workflow configuration is supported via SAP Business Workflow tools. | |
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User Interface Personalization Options to personalize dashboards, views, and alert settings. |
Users can personalize dashboards and UI elements. | |
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Configurable Alert Triggers Users may set triggers for alerts based on a variety of attributes. |
Configurable alert triggers available via compliance rules and process modeling. | |
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Delegation/Approval Workflows Enables delegation or multi-step approvals for compliance processes. |
Delegation, approval, and escalation workflows supported in compliance processes. | |
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Template Management Pre-built and editable templates for compliance documentation. |
SAP provides prebuilt and editable templates for compliance documentation. |
Regulatory Management
(9 Yes /9 Known /9 Possible features)
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Automated Regulatory Updates System updates compliance rules for new or amended regulations automatically. |
Regulatory updates can be ingested by SAP via its update and notification services. | |
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Regulatory Library Integrated repository of applicable laws, rules, and guidance. |
Regulatory libraries and content integration are available in SAP systems. | |
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Multi-jurisdiction Support Handles compliance across multiple countries or regions. |
SAP is used by multinational firms and supports multi-country compliance. | |
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Regulatory Gap Analysis Automated gap analysis as rules/policies change. |
SAP supports regulatory gap analysis with compliance and audit modules. | |
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Compliance Calendar Tracks key regulatory deadlines and review dates. |
Compliance calendar and regulatory tracking included in SAP's module. | |
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Policy Document Management Centralized storage and versioning of compliance policy documents. |
Centralized policy and document management feature standard in SAP. | |
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Attestation Management Manages user attestations acknowledging compliance policies. |
Attestation and policy acknowledgment tracking available in SAP compliance. | |
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Regulatory Impact Assessment Assesses how new rules will affect current compliance programs. |
Regulatory impact assessment supported via compliance analytics. | |
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Update Notification Mechanism Notifies relevant users of regulatory or policy updates promptly. |
SAP automatically notifies users of policy and regulatory updates. |
Risk Management Integration
(9 Yes /9 Known /9 Possible features)
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Risk Scoring Assigns and updates risk scores for compliance events or violations. |
Risk scoring for compliance violations included in SAP Risk Management. | |
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Integration with Risk Register Compliance violations can be pushed directly to corporate risk registers. |
Integration with corporate risk registers is supported. | |
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Scenario Analysis Enables modeling of compliance breaches and their impacts. |
Scenario analysis tools are provided in SAP Risk/Compliance module. | |
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KRI Monitoring Monitors key risk indicators in parallel with compliance rules. |
KRI monitoring supported via SAP Risk Integration. | |
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Compliance-Risk Mapping Maps compliance policies to organizational risk categories. |
Policies are mapped to risk categories in SAP compliance dashboards. | |
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Automated Risk Mitigation Guidance Provides inline suggestions or protocols to mitigate flagged risks. |
SAP provides process flows and mitigation guidance for compliance risks. | |
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Management Dashboard Unified dashboard to view both risk and compliance status. |
Unified dashboard for risk and compliance included. | |
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Incident Response Playbooks Embedded best practice guides for responding to compliance incidents. |
Incident response playbooks and best practices included in SAP documentation. | |
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Early Warning Indicators Features to set up early warning signals based on risk trends. |
Early warning indicators can be set up using SAP's compliance alerts. |
Scalability and Performance
(3 Yes /3 Known /8 Possible features)
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Concurrent User Support Number of users who can use the compliance system simultaneously. |
. | No information available |
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Transaction Processing Rate Number of transactions or activities the system can monitor per second. |
. | No information available |
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Maximum Alert Volume Number of compliance alerts the system can handle without performance degradation. |
. | No information available |
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System Uptime Percentage of time the compliance monitoring system is operational. |
. | No information available |
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Data Retention Capacity Max period the system retains historical compliance data. |
. | No information available |
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Geographical Redundancy Supports deployment across multiple geographies/data centers for resilience. |
SAP offers multi-region deployment and redundancy solutions. | |
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Disaster Recovery Capability System has built-in disaster recovery features with quick failover. |
Disaster recovery is a core feature of SAP infrastructure deployments. | |
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Elastic Resource Scaling Ability to auto-scale resources during peaks in activity. |
Resource scaling possible via SAP Cloud Platform capabilities. |
User Experience & Accessibility
(3 Yes /3 Known /9 Possible features)
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Intuitive Dashboard Interface Clean, user-friendly dashboards to monitor compliance status and actions. |
SAP UIs emphasize dashboards and easy compliance status visualization. | |
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Mobile Device Compatibility Compliance system is accessible from mobile devices and tablets. |
Mobile compatibility supported via Fiori and mobile apps. | |
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Accessibility Standard Compliance Meets accessibility guidelines for users with disabilities (e.g. WCAG 2.1). |
. | No information available |
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In-app Guidance Provides contextual help and tooltips within the application. |
. | No information available |
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Global Search Functionality Allows users to search across all compliance data and rules. |
. | No information available |
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Task Automation Features Automates repetitive monitoring or reporting tasks for end users. |
. | No information available |
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Multi-language Support User interface available in multiple languages. |
Multi-language support available for SAP UIs. | |
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Self-service Knowledge Base Online guides, FAQs, and documentation for users. |
. | No information available |
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Onboarding and Training Tools Features for new user onboarding and ongoing training within the tool. |
. | No information available |
Audit & Evidence Management
(8 Yes /8 Known /8 Possible features)
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Automated Evidence Collection Automatically gathers supporting evidence for compliance monitoring activities. |
Compliance evidence gathering and automation is supported in SAP Audit Management. | |
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Centralized Audit Documentation Repository A central place for storing and retrieving all audit documents and evidence. |
Centralized repository available in SAP's Audit and Document Management. | |
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Audit Log Integrity Controls Tools to ensure audit logs are tamper-proof and verifiable. |
Log integrity controls provided as part of SAP Audit Management. | |
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Access-Based Audit Views Audit reports and evidence are accessible only to authorized users. |
Access-based audit views enforce authorization control for audit records. | |
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Automated Audit Trail Reporting On-demand reports showing full history of compliance actions and user activity. |
Audit trail reporting is available on demand in SAP Audit Management. | |
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Third-party Auditor Access Temporary, controlled access for external auditors. |
Temporary access for third-party auditors is supported in SAP. | |
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Audit Timeline Visualization Tools to visually review chronological sequences of compliance events. |
Timeline visualization is available via SAP compliance and audit dashboards. | |
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Evidence Version Control Maintains historical versions of audit evidence and documentation. |
Version control provided for evidence and audit documentation. |
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