XM3 for Brokerage
Haydrian’s XM3 AML solution utilizes powerful analytics integrated with internal and external operational systems to trigger alerts of unusual activity. The detection analytics review transactions with stocks, bonds, CD’s, cash and cash equivalents, and EFT’s as well as customer information and actions. This innovative technology provides non-intrusive integration between primary data sources, avoiding the need for complex architectures that require unnecessary data replication.

KEY FEATURES
Know Your Customer

• Powerful data validation and cleaning workflow and information archiving features designed by Haydrian’s world-recognized regulatory experts and financial Services executives

Watch List Name Checking with Phonetic Compression

• Very accurate and high performance matching of names from different languages based on phonetics and language specific attributes.

Unusual Behavior Detection

• Looks for unusual and suspicious patterns in customer and transactional activity

Peer Groups Comparison

• Provides ability to compare customer activity to peers as well as consolidate customers into logical entities

Workflow and Investigation

• Provides case management workflow with permissions and data access control

Reporting

• Provides rich diversity of management reports as well as regulatory reports

XM3 CASE MANAGER

• XM3 Case Manager facilitates the organizational processes of internal review and investigation into alerts, evidence gathering evidence and preventive action.

• Investigators are presented with comprehensive risk scored and filtered alerts, each accompanied with all supportive information gathered by XM3 including details of the actions already instigated by the system.

• Investigators can drill down into the data related to each alert, correlate alerts to cases providing full picture view and allowing investigators to choose preventive actions accordingly.

• The Case Manager provides a powerful workflow engine containing a manageable list of roles and permissions that allows cases to be processed, reviewed and approved by the proper compliance personnel.

• The Case Manager also provides a complete set of management reports, regulatory reports, model prototyping and the ability to additional ad-hoc reports

• The Case Manager is a powerful web-based application tool which may be accessed via secure intranet or internet connection