SAS AML 7.1 Differentiate Alerts

[BabarS]

How we can differentiate alerts like which are NEW after AGP execution, which are forwarded to Branch, which are reverted back by Branch, etc.? 

Any view from where we can differentiate?

[manishiiita]

Hi @BabarS,

As responded on your other question, AML 7.1 related alerts are usually investigated by compliance Analysts / Investigators, not by Branch Managers, Operation manager or relationship managers. Compliance Analysts / Investigators can reach out to Branch Managers / Relationship Managers for any clarification / information required. Analysts / Investigator reaching out to Branch/RM for additional information is outside SAS AML system.

AML 7.1 provides you Entity level Alerts (Triage Screen). There all alerts are clubbed at entity level, so there is no segregation of alerts basis alerts generation dates. You can use search tab to access any date specific alerts.

[BabarS]

Thanks for your response.
In our case Analyst will route to Branch Manager or OM at Branch for their feedback or comment on Alert. Problem is that route will work for customer / Entity , you cannot route a single alert if you have multiple alert of same customer. Now issue is at Triage screen how Analyst will differentiate which items are routed to branch? Which are NEW? Which are revert back from Branch?

[manishiiita]

Are you saying that you will create separate users for Branch Manager or OM at Branch to execute this process? How many branches do your bank have?

Yes, viewing alerts individually is difficult here. As routing is only possible at Entity level, you can't route individual alerts. You can propose users to take actions on all alerts except those where RMs / OMs feedback is required and then route it to them. Still, it will have conflicts as next day new alerts will be clubbed under same Entity.

I would propose to go with my previous comment that there is no Work Flow available in SAS AML system to reach out to Branch/RM. Compliance Analysts / Investigators have to reach out to Branch/RM for additional information through outlook / emails (i.e. outside SAS AML system).

I find, below approach difficult in terms of hardware sizing as well. Have you done hardware sizing, there is a question there for number of concurrent users as well. There you might face problem.