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- KYC / AML Platform
- Who it's for
- Banking control teams
Banking control teams
Banking control teams need a clear reason for allowing or stopping a banking action. A linked case can hold a subject reference, screening date, status and decision date beside the related instruction. The instruction still has its own independent finance review and provider evidence trail, keeping the case status separate from the instruction approval record.
How KYC / AML Platform is set up for you
Case preparation
Record the organization and parent instruction before submitting a case for disposition.
Reviewer handoff
Keep the case revision and subject reference visible when the Independent Finance Reviewer examines the case.
Instruction authority
Review the banking request and its account scope separately from the case outcome.
Audit trail
Preserve the eventual provider event and reconciliation result alongside the earlier decisions.
Banking control teams need a clear reason for allowing or stopping a banking action. A linked case can hold a subject reference, screening date, status and decision date beside the related instruction. The instruction still has its own independent finance review and provider evidence trail, keeping the case status separate from the instruction approval record.
Take a real banking scenario with a reviewed external match and a related draft instruction. Record the case's subject reference and screening date, submit it, and have a qualified reviewer examine the case and parent instruction. Rehearse both an approved and a rejected disposition. Check the case board for the outcome and confirm that the bank instruction's own status has not silently changed because the case decision changed.
Then follow an authorized instruction to provider evidence and account reconciliation. Keep the provider's identifiers, verified event and exact movement comparison with the original records. An auditor should be able to trace the case status and decision date, the instruction authorization decision and the provider evidence that established the external effect. Agree how a changed case revision returns to the reviewer before expanding the operating scope.
Features to start with
Roles on the team
- Operations Analyst
- Prepare assigned operational records and execute eligible reviewed actions. Own assigned organization and draft scope only; accepted, posted and provider evidence is read-only; guarded workflows authorize every transition.
- Independent Finance Reviewer
- Review eligible revisions independently and reconcile operational evidence. Approve or reject through guarded actions only; no unrestricted editing of protected or executed records; a reviewer cannot approve their own submission.
- Auditor
- Read authorized evidence and reports in a scoped, read-only audit view. No record writes and no action execution.
- App Administrator
- Maintain organization configuration and membership. Administrative membership does not confer approval, financial or execution authority and cannot grant an independent reviewer entitlement.
- Reconciliation Analyst
- Investigates provider movements and account balance exceptions within assigned organization scope.
Set up KYC / AML Platform your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.