Provides a suite of AML compliance tools including transaction monitoring, customer risk scoring, and reporting for brokerages, tailored to meet global regulatory standards.
Systems for screening clients against watchlists, monitoring transactions for suspicious activity, and maintaining regulatory compliance documentation.
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Identity Document Verification Ability to verify government-issued identity documents (passports, national IDs, etc.) electronically. |
FIS AML Compliance Solutions supports electronic verification of government-issued documents as a core onboarding feature per product documentation. | |
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Facial Recognition/Matching Matches client-provided photos with ID documents using facial recognition technology. |
Facial recognition is explicitly offered as part of the identity verification component for customer onboarding. | |
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Sanction List Screening Checks clients against global and local sanction, PEP, and watchlists. |
Sanction, PEP, and watchlist screening are highlighted in the solution overview and documentation. | |
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Adverse Media Screening Searches for negative news related to clients using media and public data sources. |
Adverse media screening is described as integrated to reduce reputational risk for institutions. | |
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Ongoing Customer Monitoring Continuously screens existing clients for changes in status or newly published risks. |
Continuous (ongoing) monitoring of customers for new risks/changing status included as a differentiator. | |
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Risk Scoring Engine Assigns dynamic risk scores to clients based on risk factors and behaviors. |
Solution actively assigns risk scores to clients and can trigger enhanced due diligence. | |
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Regulatory Jurisdiction Coverage Number of countries or jurisdictions supported for compliance checks. |
No information available | |
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Language Support Number of languages supported for global client onboarding and screening. |
No information available | |
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Enhanced Due Diligence Handling Supports additional data collection and review for high risk clients. |
Enhanced due diligence processes are supported for high-risk clients, as described in platform datasheet. | |
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Batch Processing Capability Ability to process multiple client screenings at once. |
No information available | |
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Customizable Screening Criteria Allows modification of threshold and parameters for screening rules. |
Allows tuning of rules and thresholds for screening criteria (rules engine configurable). |
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Real-Time Transaction Monitoring Automatically scans transactions for suspicious patterns as they occur. |
Monitors transactions for suspicious activity in real time as described on product feature page. | |
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Behavioral Pattern Detection Uses profiling and analytics to detect unusual or unexpected patterns. |
Behavioral analytics described as a core feature to detect anomalous activity. | |
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Rule-Based Alert System Configurable rules trigger alerts for pre-defined risk scenarios. |
Configurable rules for alerts present (e.g., thresholds, pattern-based triggers). | |
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Machine Learning/AI Analytics Employs AI models to detect previously unknown or emerging risks. |
AI and machine learning utilized for adaptive and evolving risk-detection, as per FIS datasheets. | |
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Alert Prioritization Ranks alerts based on severity and risk relevance for efficient case handling. |
Alert scoring and prioritization presented in workflow/case overview. | |
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False Positive Management System features to reduce unnecessary alerts and streamline review. |
Solution touts reduced false positives and efficient investigation workflows as key benefits. | |
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Volume Handling Capacity Maximum number of transactions monitored per second. |
No information available | |
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Integration with Trade/Order Systems Direct connection to brokerage trade/order platforms for seamless monitoring. |
Integration and monitoring of brokerage trade/order systems referenced in solution's brokerage material. | |
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Peer Group Analysis Compares client behavior against similar client group averages. |
No information available | |
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Historical Data Analysis Supports backtesting and review of historical transactions for compliance audits. |
Supports historical data analysis for audits, reviews, and model calibration. | |
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Automated Case Escalation Automatically escalates suspicious cases for compliance officer review. |
Workflow engine supports automated escalation based on case parameters and severity. |
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Integrated Global Lists Supports all major regulatory and financial watchlists (OFAC, EU, UN, etc.). |
Major global lists cited (OFAC, EU, etc.), plus automatic updates of integrated global lists. | |
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Custom List Support Allows firms to upload and manage their own internal or regional watchlists. |
Clients can upload and manage custom/regional or internal lists per documentation. | |
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Automated List Updates Regularly and automatically fetches the latest list changes. |
System schedules regular, automated watchlist updates. | |
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Version Control Tracks list changes and maintains history for audit purposes. |
Tracks list version history and changes for auditability. | |
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List Capacity Maximum number of entries supported per watchlist. |
No information available | |
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Fuzzy Matching Algorithms Detects similar names or entities with variable spellings. |
Fuzzy matching and name/alias detection explicitly listed as a disambiguation feature for watchlists. | |
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Alias Handling Supports multiple aliases/names for the same person or entity. |
Alias and multiple name support highlighted in watchlist and screening documentation. | |
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Bulk List Import/Export Allows batch file management for lists. |
Bulk import/export functionality for lists documented for large client bases. | |
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Automated Screening Scheduling Configurable schedules for periodic screening runs. |
Scheduled, automated screenings configurable via system interface. | |
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Geo-Restriction Handling Manages restricted or high-risk regions and jurisdictions. |
Geo-restriction and jurisdictional risk screening described in product feature sets. |
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Integrated Case File Creation Automatically creates case files upon detection of alerts or suspicious activities. |
Case file creation and management automated upon rule-triggered alerts or manual escalation. | |
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Investigation Workflow Engine Guided process for analysts through investigation, review, and resolution steps. |
Describes guided investigation and analytics workflows for compliance analysts. | |
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Audit Trail Logging Maintains detailed logs of all actions taken on a case for compliance. |
System maintains action logs and audit trail as a compliance feature. | |
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Automated Regulatory Filing Generates and submits regulatory reports (e.g., SAR/STR) in the required formats. |
FIS products auto-generate regulatory filings, including SAR/STR, as specified in product literature. | |
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Role-Based Access Control Restricts and manages access to cases based on user roles or responsibilities. |
RBAC (Role-Based Access Controls) confirmed in security/administration materials. | |
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Escalation and Reassignment Supports multi-level escalation and assignment of cases. |
Cases can be escalated multi-level and reassigned; function is part of workflow manager. | |
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Case Review SLAs Tracks and enforces service-level agreements for case review duration. |
No information available | |
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Document Storage Capacity Maximum storage allocated per case for supporting documents. |
No information available | |
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Automated Case Notification Notifies relevant users upon updates, assignment, or need for action. |
Automated notifications of case changes/actions documented under workflow automation. | |
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Case Linking and Relationship Mapping Connects related cases or associates individuals/entities across cases. |
No information available |
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Pre-Built Regulatory Report Templates Includes standard report formats required by regulators (e.g., SAR, CTR, STR, KYC logs). |
Pre-built templates for SAR, STR, and other regulatory reports supplied and customizable. | |
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Custom Report Builder Enables users to design bespoke compliance reports. |
System includes a custom report builder for compliance data. | |
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Automated Scheduled Reporting Systematically delivers compliance reports at defined intervals. |
Automated scheduled reporting of compliance information is a core function. | |
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Regulatory Data Retention Period Number of years for which compliance data is retained. |
No information available | |
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E-Filing Integration Supports direct submissions via regulatory authority electronic channels. |
E-Filing systems and direct regulatory integrations are available for several jurisdictions. | |
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Multi-Jurisdictional Compliance Built-in features for different global regulatory regimes. |
Multi-jurisdiction compliance cited as a differentiator in product material. | |
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Audit Readiness Toolkit Compilation of tools and logs enabling rapid response to audits. |
Tools for audit readiness and rapid response to audit requests included. | |
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Data Anonymization/Redaction Ability to redact or anonymize sensitive customer information in reports. |
Data anonymization and redaction functions available to comply with privacy mandates. | |
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Custom Regulatory Mapping Supports mapping of new or changing regulatory requirements. |
No information available | |
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Compliance Attestation Support Module for documentation and certification of compliance by officers. |
No information available |
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API Access and Documentation Provides detailed APIs for integration with proprietary or third-party systems. |
Comprehensive APIs and documentation for system integration described on technical resources. | |
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Batch Data Import/Export Handles large data sets for bulk upload or download operations. |
The product supports batch data import/export for onboarding and periodic refresh operations. | |
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Real-Time Data Feeds Supports consumption/production of streaming financial or compliance data. |
Describes real-time data feed integrations for account and transaction data. | |
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Third-Party Data Provider Integration Easy integration with external KYC/AML data sources, credit bureaus, etc. |
Integration with external data providers (KYC/AML, credit) is an advertised product feature. | |
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Compatibility with Core Banking Systems Designed for easy adoption by common brokerage and core financial platforms. |
Designed for compatibility with brokerage and banking core systems (including legacy). | |
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Customizable Webhooks Triggers actions in other systems upon specific compliance events. |
No information available | |
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SSO and Identity Provider Support Integrates with identity management and SSO for organizational identity control. |
Supports SSO and identity providers for organizational management and security. | |
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Plugin/Extension Support Can be extended with add-ons for specific compliance needs. |
No information available | |
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Connector Library Size Number of pre-built connectors to standard systems/platforms. |
No information available | |
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Legacy System Support Compatible with non-modern or legacy brokerage infrastructures. |
Legacy system support confirmed as a selling point for FIS in the brokerage segment. |
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Customizable Dashboards Personalized views for compliance officers, executives, or investigators. |
Dashboards are user-personalizable for compliance, executive, and supervisory roles. | |
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Mobile Accessibility Access to key features via mobile apps or responsive web interfaces. |
Mobile responsive dashboards and monitoring apps available (per FIS client case studies). | |
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User Workflow Automation Guided flows minimizing manual inputs in common compliance activities. |
User workflow automation included for repetitive compliance operations. | |
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Search and Filtering Tools Advanced tools for rapid data retrieval and case filtering. |
Advanced search and rapid filtering documentated for compliance investigations. | |
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Bulk Action Tools Support for batch processing and bulk updates. |
Bulk review and processing tools form part of management interface. | |
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Multi-Language UI User interface offered in multiple languages. |
No information available | |
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Accessibility Compliance Meets accessibility standards such as WCAG for user inclusivity. |
FIS states accessibility/WCAG compliance aimed for enterprise deployments. | |
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User Training and Help Center Built-in education modules and real-time assistance features. |
Help center and user guides embedded; user training modules available for clients. | |
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Custom User Roles Tailorable user permissions for granular security and workflow management. |
Custom user roles supported for granular workflow and data access. | |
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Performance/Load Times Average time taken for the UI to load main dashboards. |
No information available |
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Data Encryption In Transit/At Rest Encrypts all sensitive data both in motion and when stored. |
Encrypts data in transit and at rest, conforming to regulatory and client security standards. | |
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Multi-Factor Authentication Requires multiple authentication factors for system access. |
Multi-factor authentication enforced for sensitive operations/restricted areas. | |
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Access Logging and Monitoring Extensive logs of all user access and administrative actions. |
Comprehensive audit/access logging systems implemented as per security requirements. | |
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Penetration Testing Frequency How often the system undergoes external security assessment. |
No information available | |
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Data Residency Options Supports choice of specific regions/countries for data storage. |
Supports choice of data residency (region/country) for compliance. | |
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Compliance with Industry Standards Adheres to standards such as ISO 27001, PCI DSS, GDPR. |
Stated compliance with ISO 27001, PCI DSS, and other applicable industry standards. | |
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User Session Time-Outs Automatic log-off after a period of inactivity. |
Automatic user session time-outs implemented for security policy. | |
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Field-Level Data Masking Sensitive fields can be masked or hidden from unauthorized users. |
Field/data-level masking for sensitive information to protect PII. | |
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Secure Audit Log Storage Ensures immutability and backup of critical audit logs. |
Immutable storage and backup procedures for audit logs outlined in docs. | |
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Incident Response Procedures Documented processes for breach detection and notification. |
Formal incident response and breach notification policies are part of offering. |
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Concurrent User Limit Maximum number of users supported simultaneously. |
No information available | |
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Transaction Processing Latency Average time to process and analyze a single transaction. |
No information available | |
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Uptime/Availability SLA Guaranteed system availability often expressed as a percentage. |
No information available | |
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Data Ingestion Rate Speed at which system can ingest new compliance data. |
No information available | |
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Horizontal Scaling Support System supports scaling across servers/nodes to accommodate growth. |
Horizontal scaling supported to fit growing/large broker and bank clients. | |
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Performance Monitoring Tools Built-in dashboards and alerts on system performance metrics. |
Performance monitor dashboards for system health and resource utilization included. | |
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Cloud Deployment Option System can be deployed as a cloud (SaaS) or hybrid solution. |
Cloud/SaaS deployment and managed hybrid environments both supported. | |
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On-Premise Deployment Option Supports local/internal hosting for sensitive or regulated data. |
On-premise installations also documented for sensitive client types. | |
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Disaster Recovery RTO Recovery Time Objective in case of system outage. |
No information available | |
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Database Size Limit Maximum database size supported without performance loss. |
No information available |
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24/7 Support Availability Round-the-clock access to technical and compliance support. |
FIS provides 24/7 dedicated technical and regulatory support globally. | |
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Dedicated Account Manager Single point of contact for service and issue escalation. |
No information available | |
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Self-Service Knowledge Base Extensive library of documentation, FAQs, and training material. |
Extensive knowledge base, FAQs, and online documentation available to clients. | |
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Regular System Updates Frequency of non-disruptive security, functionality and rule updates. |
No information available | |
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Custom SLA Options Ability to define support levels and response times contractually. |
Custom SLAs can be arranged depending on institution/contract. | |
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Uptime Guarantee Contractual uptime guarantee for system operation. |
No information available | |
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Automated Backup Scheduling Scheduled, automated backups of all system and client data. |
Automatic scheduled backups described as standard practice for client data protection. | |
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Patch Management Tools Automation of system security patching and compliance rule changes. |
No information available | |
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User Feedback Loop Mechanisms for users to submit feedback and feature requests. |
Clients are able to submit feedback and feature requests via the support portal. | |
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Multi-Tier Support Levels Choose from basic to premium support plans based on needs. |
Support levels (including premium) available as options for institutional clients. |
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Transparent Pricing Model Clearly published and predictable licensing or usage costs. |
Solution pricing and licensing structure is clear and predictable. | |
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Pay-As-You-Go Option Usage-based billing for modular feature access. |
No information available | |
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Volume Discounts Available Lower per-unit pricing as transaction or client count increases. |
No information available | |
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Free Trial/POC Period for free evaluation or proof of concept. |
Free trials/POC arrangements available for qualifying prospects. | |
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Feature-Based Licensing Modular pricing per individual function/module. |
Modular, feature-based licensing supported for AML/KYC modules. | |
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Perpetual License Option Option to purchase software outright rather than as a subscription. |
No information available | |
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Annual Billing Option Discounted pricing for annual upfront payment. |
No information available | |
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Multi-Entity Licensing Special terms for multi-subsidiary or group licensing. |
No information available | |
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Seat/User License Cap Maximum number of named users included without additional charges. |
No information available | |
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Additional Data Storage Pricing Published price per additional unit of data storage. |
No information available |
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