Case study
KYC and exceptions hub for financial operations
Your operations teams still lived in shared mailboxes while compliance asked for the same customer file six different ways. We built a single hub where cases carry owners, attachments stay versioned, and aging is visible by desk before regulators read your metrics.
The problem
KYC refresh sat in one queue, wire investigations in another, and commercial credit analysts rebuilt the same borrower zip on every renewal. Managers could not see which items breached internal time targets until someone built a Friday spreadsheet.
What we built
A role based web console with SSO, immutable activity history on case state, and exports your audit team can drop into the workpaper index without renaming files by hand.
- KYC and CDD refresh templates attach policy excerpts so reviewers know which questions apply to retail versus business legal entities.
- Wire and ACH exception queues capture counterparty, amount, hold reason, and dual control sign off when release exceeds a threshold you configure per branch.
- Loan and line renewal packets assemble tax returns, spreads, covenant tests, and exceptions lists into one numbered PDF with a cover sheet keyed to your credit memo outline.
- Heatmaps and aging buckets show items past SLA by product and officer so you can move staff before month end crunch.
- Optional read only feed pushes summary counts into your GRC or data warehouse nightly so risk committees see trends without logging into another UI.
What you gain
Faster cycle time on refresh programs, fewer repeat document requests to customers, and a cleaner story when examiners ask who approved a release while a hold was active.
What you should do next
Send your current case categories, dual control matrix, and sample credit memo. We map LDAP groups, load a pilot region, and tune thresholds with your operations lead before you expand firm wide.