topic Re: SAS AML 7.1 Escalation in Fraud, AML and Security Intelligence

SAS AML 7.1 Escalation

BabarS — Tue, 17 Dec 2019 14:35:12 GMT

How we can configure TAT ?

For example, Alerts which will be generated on daily basis must be responded by the Branch Managers / Operation Managers within assigned (TAT) of 10 working days. If timely response not received from the branch, Reminder will be sent to the Branch on 11th working day. If still no response then it will be escalated to the respective Area or Regional Manager after 5 Working days i.e on 17th day. If the matter still remains unresponded, it will be forwarded to the Group Head after 10 working days from the said date for necessary action.

Re: SAS AML 7.1 Escalation

manishiiita — Tue, 17 Dec 2019 16:51:28 GMT

Hi @BabarS, AML 7.1 related alerts are usually investigated by compliance Analysts / Investigators, not by Branch Managers, Operation manager or relationship managers. However, Compliance Analysts / Investigators can reach out to Branch Managers / Relationship Managers for any clarification / information required.

Compliance Analysts / Investigator reach out to Branch/RM for additional information through outlook / emails (i.e. outside SAS AML system), Investigator reaching out to Branch/RM for additional information is outside SAS AML system. There is no Work Flow available in SAS AML system to reach out to Branch/RM.

So, there is no nothing to talk about TAT regarding reaching out to Branch/RM for additional information as there is no such functionality available.

There is number of days shown on Entity Alerts / Triage Screen, it will reflect age for oldest alert. Compliance Analysts / Investigator can use this if want to ensure some TAT, there can be custom functionality built for notification purposes.

Hope this clarifies you doubt, feel free to comment in case of any further queries.

Re: SAS AML 7.1 Escalation

BabarS — Tue, 17 Dec 2019 19:38:12 GMT

Appreciated.
How can we built custom functionality for notification purposes ? Can we use some sort of rules which examines alerts age then shoot email to defined receipient?

Re: SAS AML 7.1 Escalation

manishiiita — Tue, 24 Dec 2019 08:10:42 GMT

@BabarSThis should be simple.

There are two parts of job:

write a job to select alerts older than defined period and extract in Excel / CSV format.
Another part of job will be for Email by attaching above extracted file. Add all User IDs in the email who are to be notified.

Above Job will run at the end of AGP and notify all users about the pending alerts older than a certain period.

I hope this will be helpful.