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  • AML Detection Scenarios Transaction Monitoring Sample Template

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    pooja kumari
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    DS INFORMATION 1. Detection scenarios are used to monitor transactions for unusual or suspicious activity based on criteria like transaction type, currency, frequency, and thresholds. 2. Settings include transaction thresholds, deviation factors to account for close values, segmentation by entity type and risk level, and minimum transactions to trigger a scenario. 3. Detection scenarios generate alerts which may be escalated to further reports, with statistics provided on alert and report volumes and percentages escalated to financial intelligence units.

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    DS INFORMATION 1. Detection scenarios are used to monitor transactions for unusual or suspicious activity based on criteria like transaction type, currency, frequency, and thresholds. 2. Settings include transaction thresholds, deviation factors to account for close values, segmentation by entity type and risk level, and minimum transactions to trigger a scenario. 3. Detection scenarios generate alerts which may be escalated to further reports, with statistics provided on alert and report volumes and percentages escalated to financial intelligence units.

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    © All Rights Reserved
    Download as XLSX, PDF, TXT or read online from Scribd
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    35 views10 pages

    AML Detection Scenarios Transaction Monitoring Sample Template

    Uploaded by

    pooja kumari
    DS INFORMATION 1. Detection scenarios are used to monitor transactions for unusual or suspicious activity based on criteria like transaction type, currency, frequency, and thresholds. 2. Settings include transaction thresholds, deviation factors to account for close values, segmentation by entity type and risk level, and minimum transactions to trigger a scenario. 3. Detection scenarios generate alerts which may be escalated to further reports, with statistics provided on alert and report volumes and percentages escalated to financial intelligence units.

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    © All Rights Reserved
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    of 10

    DS INFORMATION

    ID DETECTION SCENARIO TYPE DETECTION SCENARIO PURPOSE TX SCOPE

    Explanation of Detection Scenario Cash, Wire, Cross-


    1 Classified Type of Scenario Monitoring Purpose transfer, internal Tft,
    …
    ALGORYTHM

    TX CURRENCY TX TYPE DS FREQUENCE DS PERIOD SCOPE MIN TX

    Real-time; Daily;
    X days
    Weekly; Monthly; X weeks Minimum transactions for
    EUR; USD; POUNDS; … CREDIT/DEBIT Quarterly; X months scenario activation
    Semesterly; (not required)
    Yearly X years
    DS SETTINGS

    SEGME

    MAX TX TX THRESHOLDS DS DEVIATION PROFILE


    FACTOR

    A deviation factor
    Maximum transactions for Unique or Differentiated helps considering Physical persons, entities,
    scenario running thresholds ? the close values; some legal vehicles only,
    (not required) instead of rule peculiar status,…
    fixing.
    SEGMENTATION

    LEGAL FORM/ACTIVITY COUNTRIES RISK

    Priavte limited, Stockmarket, Global application or


    independant, State, Focus on LR, MR,HR, … ? LR, MR,HR focus?
    DS ASSESSMENT

    CONTINUOUS ALERTS

    Comments Potential issues

    Start + Yearly assessment Ad hoc


    ANALYSIS OF THE SCOPE OF DATA : XXXXXXXXX

    Detection Scenarios # % Reports % Reports/DS alerts


    Alerts Alerts /Scen
    DS-01 : XXXXXX 396 3.96% 356 89.90%
    XXXXXXXXX SCOPE #Alerts:

    Reports escalated %FIU %FIU FIU UNIQUES


    FIU /DOSS /#ALERTS
    164 46% 41.41% 8
    10,000

    AUTO COMMENTS

    Escalation to FIU
    Pideeco
    COMPLIANCE CONSULTANCY AND RISK
    HTTPS://PIDEECO.BE

    INFO@PIDEECO.BE
    +32 (0) 2 450 69 62
    CY AND RISK MANAGEMENT FIRM

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