AML & Transaction Monitoring

Tools in this category help firms watch customer activity for signs of money laundering and other suspicious behavior. Typical functions include monitoring customer transactions against rules or risk models, screening names against sanctions and watchlists, routing alerts to reviewers, and managing investigations as cases with a documented decision trail.

Vendor capabilities are shown as unverified until checked against a public source. Vendors can appear in more than one category.

Employee personal trading oversight lives in Code of ethics & personal trading.