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Case Management

Overview

Case management in compliance and fraud prevention is the structured process of handling alerts, investigations, and customer issues. It helps financial institutions track suspicious transactions, assign cases to investigators, and ensure proper resolution with full audit trails.

By centralizing case data, it ensures nothing is overlooked and regulators have transparent records of all actions taken. Banks, fintechs, and insurers use case management platforms to integrate with KYC, AML, and fraud systems, ensuring investigations are timely, consistent, and compliant with laws like the BSA or AMLD.

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AML Screening

Screen users against Politically Exposed Persons (PEP), watchlists, sanctions lists, adverse media, and more through one-time screening and advanced monitoring.

Transaction Monitoring

Monitor transactions in real-time and analyse past behaviour to identify suspicious activities and ensure regulatory compliance across the user journey.

Criminal Screening

Perform thorough background checks and verify criminal records to maintain compliance and strengthen onboarding security.

Related Terms

Suspicious Activity/Transaction Report (SAR/STR)

Transaction Monitoring

Workflow Orchestration

FAQ

What is case management in compliance?

It is the workflow for investigating alerts, suspicious activities, or compliance breaches.

Why is it important?

It ensures accountability, prevents gaps in monitoring, and creates reliable audit logs.

Who uses case management systems?

Banks, fintechs, insurers, and regulators rely on them daily.

Can they integrate with other systems?

Yes, most modern case management tools connect with monitoring, screening, and fraud systems.