Fincom’s Case Management System is designed to support multiple teams’ operations on different screening rails across various geographical locations.
The System’s Dashboards provide supervisors and staff members with a comprehensive overview of current tasks and status of open cases.
The System offers full traceability and ensures a clear audit trail, meeting regulatory requirements.
Supports sanctions screening for all screening rails, including KYC/KYB Onboarding, Perpetual KYC (pKYC), Ongoing monitoring, and payment rails: Wires, ACH, SEPA, and RTP (FedNow, TIPS).
Four permission Levels:
The Supervisor can allocate and assign tasks to each of the compliance team members, override decisions, and review status.
The system provides comprehensive tools for Alert management and follow-up on each Alert Case.
Sends notification on Flagged individuals or companies to the Account Restrictions List, blocking them from onboarding or further transaction processing.
Dashboard & Query Logs: intuitive UI for fast, simple, and effective case management processing.
Different kinds of reports for follow-up, audit, inspection. Access to the Reports – in accordance with permission levels. Reports can be saved for later audit or as needed.
The system offers comprehensive query management, featuring color-coded sorting by case status (Open, Pending, Submitted, or Closed) or by compliance team member.
Automated time tracking for each case and alerts for overdue cases enhance oversight and efficiency.
The system is fully configurable to align with user preferences.
