Test Drive Book a Demo

Banking & Financial Services

Risk and Controls software for Financial Services

Review 6 risk and controls workflows for financial services teams, including AML case workflow and Exception sign-off log.

Back to Banking & Financial Services View applications

01

Suspicious activity intake

Banking & financial services teams could use suspicious activity intake to coordinate risk and controls work from one role-based surface. A guided intake workspace could collect complete information, apply routing rules, show missing evidence, and prepare a review-ready record. The representative screen makes the current state, accountable owner, supporting evidence, and next action visible. Final fields, rules, integrations, and controls would be configured around the organization's operating model.

  • Intake workspace
  • Accountable owner and current status
  • Evidence ready for controlled delivery cycles
Representative Suspicious activity intake application for Banking & Financial Services, showing intake workspace, sample operational data, accountable ownership, and a visible next action.
Illustrative product conceptIllustrative interface concept for Suspicious activity intake. It is not a live or deployed product; final screens, data, integrations, and controls are configured for each engagement.
What this concept demonstrates
  • Intake workspace: Suspicious activity intake
  • Primary record: Case CAS-4198
  • Current state: Ready for review
  • Next action: Continue review
  • Evidence: Risk, covenant, and control evidence
Test Drive this workflow

02

AML case workflow

Banking & financial services teams could use aml case workflow to coordinate risk and controls work from one role-based surface. A role-based operations queue could help teams prioritize, assign, review, and close work while retaining a clear service history. The representative screen makes the current state, accountable owner, supporting evidence, and next action visible. Final fields, rules, integrations, and controls would be configured around the organization's operating model.

  • Operations queue
  • Accountable owner and current status
  • Evidence ready for controlled delivery cycles
Representative AML case workflow application for Banking & Financial Services, showing operations queue, sample operational data, accountable ownership, and a visible next action.
Illustrative product conceptIllustrative interface concept for AML case workflow. It is not a live or deployed product; final screens, data, integrations, and controls are configured for each engagement.
What this concept demonstrates
  • Operations queue: AML case workflow
  • Primary record: Case CAS-5417
  • Current state: Needs attention
  • Next action: Assign next item
  • Evidence: Risk, covenant, and control evidence
Test Drive this workflow

03

Model alert review board

Banking & financial services teams could use model alert review board to coordinate risk and controls work from one role-based surface. An operational command center could combine live status, service indicators, exceptions, ownership, and response evidence in one view. The representative screen makes the current state, accountable owner, supporting evidence, and next action visible. Final fields, rules, integrations, and controls would be configured around the organization's operating model.

  • Command center
  • Accountable owner and current status
  • Evidence ready for controlled delivery cycles
Representative Model alert review board application for Banking & Financial Services, showing command center, sample operational data, accountable ownership, and a visible next action.
Illustrative product conceptIllustrative interface concept for Model alert review board. It is not a live or deployed product; final screens, data, integrations, and controls are configured for each engagement.
What this concept demonstrates
  • Command center: Model alert review board
  • Primary record: Case CAS-8047
  • Current state: Monitoring
  • Next action: Open active alert
  • Evidence: Risk, covenant, and control evidence
Test Drive this workflow

04

Control evidence checklist

Banking & financial services teams could use control evidence checklist to coordinate risk and controls work from one role-based surface. An approval and exception desk could make review criteria, supporting evidence, ownership, and the next accountable decision visible together. The representative screen makes the current state, accountable owner, supporting evidence, and next action visible. Final fields, rules, integrations, and controls would be configured around the organization's operating model.

  • Approval desk
  • Accountable owner and current status
  • Evidence ready for controlled delivery cycles
Representative Control evidence checklist application for Banking & Financial Services, showing approval desk, sample operational data, accountable ownership, and a visible next action.
Illustrative product conceptIllustrative interface concept for Control evidence checklist. It is not a live or deployed product; final screens, data, integrations, and controls are configured for each engagement.
What this concept demonstrates
  • Approval desk: Control evidence checklist
  • Primary record: Case CAS-7066
  • Current state: Decision required
  • Next action: Record decision
  • Evidence: Risk, covenant, and control evidence
Test Drive this workflow

05

Exception sign-off log

Banking & financial services teams could use exception sign-off log to coordinate risk and controls work from one role-based surface. An approval and exception desk could make review criteria, supporting evidence, ownership, and the next accountable decision visible together. The representative screen makes the current state, accountable owner, supporting evidence, and next action visible. Final fields, rules, integrations, and controls would be configured around the organization's operating model.

  • Approval desk
  • Accountable owner and current status
  • Evidence ready for controlled delivery cycles
Representative Exception sign-off log application for Banking & Financial Services, showing approval desk, sample operational data, accountable ownership, and a visible next action.
Illustrative product conceptIllustrative interface concept for Exception sign-off log. It is not a live or deployed product; final screens, data, integrations, and controls are configured for each engagement.
What this concept demonstrates
  • Approval desk: Exception sign-off log
  • Primary record: Case CAS-3278
  • Current state: Decision required
  • Next action: Record decision
  • Evidence: Risk, covenant, and control evidence
Test Drive this workflow

06

Transaction risk rule override board

Banking & financial services teams could use transaction risk rule override board to coordinate risk and controls work from one role-based surface. An approval and exception desk could make review criteria, supporting evidence, ownership, and the next accountable decision visible together. The representative screen makes the current state, accountable owner, supporting evidence, and next action visible. Final fields, rules, integrations, and controls would be configured around the organization's operating model.

  • Approval desk
  • Accountable owner and current status
  • Evidence ready for controlled delivery cycles
Representative Transaction risk rule override board application for Banking & Financial Services, showing approval desk, sample operational data, accountable ownership, and a visible next action.
Illustrative product conceptIllustrative interface concept for Transaction risk rule override board. It is not a live or deployed product; final screens, data, integrations, and controls are configured for each engagement.
What this concept demonstrates
  • Approval desk: Transaction risk rule override board
  • Primary record: Case CAS-5376
  • Current state: Decision required
  • Next action: Record decision
  • Evidence: Risk, covenant, and control evidence
Test Drive this workflow