Overview
Our Regulatory Reporting solution streamlines the entire reporting lifecycle from case escalation through regulatory submission and tracking.
Automated report generation pulls evidence from investigations, ensuring completeness while saving analyst time. Multi-level approval workflows ensure proper review before submission.
Support for multiple report types including SARs, STRs, CTRs, and other regulatory filings across jurisdictions with format compliance validation.
Key Features
Complete regulatory reporting capabilities
Auto-Generation
Automated report drafting from case information and investigation evidence
Multi-Format Support
Support for SAR, STR, CTR, and custom regulatory formats across jurisdictions
Analytics Dashboard
Track filing volumes, turnaround times, and compliance metrics
Format Validation
Ensure reports meet regulatory format requirements before submission
Deadline Tracking
Monitor filing deadlines with escalation alerts for approaching due dates
E-Filing Integration
Direct electronic submission to regulatory portals where supported
Included Modules
Platform components that power this solution
| Module | Included | Purpose |
|---|---|---|
Case Management |
Investigation evidence and case documentation | |
Alert Management |
Alert-to-case escalation for SAR candidates | |
Regulatory Reporting |
Report generation, submission, and tracking | |
Workflow Automation |
Approval routing and deadline management | |
Transaction Monitoring |
Optional |
Optional: Detect suspicious activity for reporting |
Client Lifecycle Management |
Optional |
Optional: Client context for report narratives |
Reporting Workflow
End-to-end regulatory filing process
Case Escalation
Identify cases requiring regulatory reporting
SAR candidate identification
Case documentation review
Reporting decision
Step 1
Report Drafting
Generate and complete report content
Auto-populate from case data
Narrative composition
Supporting documentation
Step 2
Review & Approval
Multi-level review before submission
Quality review
Compliance approval
Final authorization
Step 3
Submission
File with regulatory authority
Format validation
Electronic filing
Confirmation receipt
Step 4
Tracking
Monitor and maintain records
Filing confirmation
Amendment tracking
Audit trail maintenance
Step 5
Key Benefits
Faster Filing: Auto-generation reduces report preparation time by up to 80%
Compliance Assurance: Format validation ensures reports meet regulatory requirements
Deadline Management: Never miss a filing deadline with automated tracking and escalation
Quality Control: Multi-level review workflows ensure report accuracy
Complete Records: Full audit trails support regulatory examinations
Multi-Jurisdiction: Support for reporting requirements across different countries
Integration Points
Inputs
Case management systems
Investigation evidence
Transaction data
Client information
Outputs
Regulatory portals (FinCEN, goAML)
Document management
Audit systems
APIs
Report generation API
Filing status API
Document retrieval API
Scheduled Jobs
Deadline monitoring
Filing reminders
Compliance metrics
Performance Metrics
80%
Time Saved
Reduction in report preparation time
100%
On-Time Filing
Reports filed within regulatory deadlines
24hrs
Turnaround
Average time from escalation to filing
99%
Accuracy
First-time acceptance rate by regulators
Use Cases
SAR/STR Filing
Streamline suspicious activity reporting with automated generation and approval workflows
CTR Compliance
Automate currency transaction reporting for large cash transactions
Regulatory Audits
Provide complete audit trails and documentation for regulatory examinations