Financial Crime & Compliance

Domain ID	BD07
Owner	Chief Compliance Officer
Systems	SD02 · SD03
Repos	bank-kyc, bank-aml
Applicability	Platform — SD02 and SD03 deliver the full AML/CFT technical capability. In Track 2 tenants are the reporting entities; the platform enables their compliance programme. AML capability is one of the five primary Track 2 SaaS entry wedges.

Second-line AML compliance, sanctions, fraud policy, regulatory submissions, compliance monitoring.

Functions

AML compliance programme management · Sanctions screening & compliance · Transaction monitoring & alert management · Suspicious activity reporting (SAR/STR) · Compliance monitoring & testing · Regulatory relationship management · Financial crime investigations

Key systems

• SD02 KYC Platform — identity verification, PEP screening, sanctions
• SD03 AML Platform — transaction monitoring, alert management, regulatory reporting

Risk domains

• D03 AML / Financial Crime
• D08 Governance & Accountability
• D07 Regulatory Reporting

Policies owned

• AML-001 — AML/CFT Programme Policy
• AML-002 — Customer Due Diligence (CDD) Policy
• AML-004 — Politically Exposed Persons (PEP) Policy
• AML-005 — Transaction Monitoring Policy
• AML-006 — Suspicious Activity Reporting Policy
• AML-007 — Sanctions Screening Policy
• AML-008 — Cross-Border Transfer Reporting Policy
• AML-009 — Correspondent Banking & Payments Policy
• AML-010 — AML Training & Awareness Policy
• REP-003 — AML Compliance Reporting Policy

Policies applicable

• GOV-007 — Conflicts of Interest Policy

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Compiled 2026-05-22 from source/entities/business-domains/BD07.yaml