Sanction-screening effectiveness testing
Replay configurable synthetic name panels against the production screening rule set; capture true-positive, false-negative and near-miss rates with rule attribution.
Thematic review support · Evidence-ready in days, not months
Fulfil thematic reviews — without the spreadsheet sprint.
ComplianceSuite helps regulated entities meet AML/CFT thematic-review expectations end-to-end. Replay synthetic sanction-screening panels and red-flag transaction sequences, score system effectiveness, surface every tuning decision and hand the reviewer a single, timestamped, hashed evidence pack.
What is a thematic review?
One theme. Every entity. Real evidence.
A thematic review is a supervisory exercise focused on a single AML/CFT control — sanction screening, transaction monitoring, KYC remediation, PEP screening, beneficial-ownership identification — measured across one or many regulated entities. Reviewers expect more than policy documents: they want to see the system's actual performance, the tuning history behind it and the remediation trail in front of it.
ComplianceSuite turns that expectation into a workflow. Configurable synthetic test datasets exercise the production rule set, scorecards quantify effectiveness, and an immutable audit trail captures every change, alert and disposition — so the evidence pack assembles itself.
- Synthetic name panels for sanction-screening effectiveness
- Synthetic transaction sequences mapped to AML typologies
- Per-theme scorecards with true-positive, false-negative and near-miss rates
- Tuning history with maker-checker approver and rationale
- KYC remediation cohorts and SLA tracking
- Reviewer workspace with scoped, watermarked, logged access
- One-click evidence-pack export — timestamped and hashed
- Continuous assurance: schedule the same tests monthly or quarterly
Thematic review capabilities
Built to satisfy supervisors and internal audit.
Transaction-monitoring red-flag testing
Inject synthetic transaction sequences that mimic defined money-laundering typologies; measure rule coverage, alert quality and tuning effectiveness.
Evidence pack export
One-click reviewer pack: coverage maps, tuning history, effectiveness scorecards, alert samples, remediation backlog and immutable audit trail.
Tuning history with maker-checker
Every threshold, list, rule and weight change preserved with approver, timestamp, rationale and before/after impact — the spine of any thematic finding.
Multi-entity benchmarking
Group oversight and second-line teams compare effectiveness scores across legal entities and business lines under a multi-entity licence.
Reviewer workspace
Scoped, watermarked, read-only access for internal audit or regulator-led reviewers with full read-event logging.
How thematic-review support works
From scoping to evidence pack — one workflow.
- 1
Scope the theme
Pick the control area in scope — sanction screening, transaction monitoring, KYC remediation, PEP, UBO — and the legal entities and time window to cover.
- 2
Replay synthetic tests
Run the bundled or custom synthetic name panels and transaction sequences against the production rule set in a non-destructive sandbox.
- 3
Score effectiveness
Auto-generated scorecards report true-positives, false-negatives, near-misses, rule attribution and benchmark against your prior cycle.
- 4
Surface tuning history
Pull the immutable list of threshold, list and rule changes with approver, rationale and impact metrics for the review window.
- 5
Assemble evidence pack
Coverage maps, scorecards, sample alerts, remediation backlog and audit trail compile into a single timestamped, hashed export.
- 6
Open a reviewer workspace
Grant scoped read-only access to internal audit, second-line or the regulator — every read is logged and watermarked.
Themes covered
Every common AML/CFT thematic-review area.
ComplianceSuite supports the themes regulators and second-line teams ask about most. Need a theme that isn't listed? It's almost certainly covered by the underlying audit-trail and rule-replay engine — talk to us.
Sanction screening effectiveness & list coverage
PEP and adverse-media screening
Transaction-monitoring rule performance & typology coverage
Threshold tuning and false-positive management
KYC and EDD remediation cycles
Beneficial-ownership identification
Ongoing customer due diligence
Regulatory-reporting timeliness (CRS, FATCA, FINTRAC, goAML)
Sanctions list-update latency
Customer risk-rating model performance
FAQ
Thematic reviews, answered.
What is a thematic review?
A thematic review is a supervisory exercise where a regulator, central bank or internal audit function evaluates how a specific AML/CFT control — sanction screening, transaction monitoring, KYC remediation, PEP screening, beneficial-ownership identification — performs across one or many regulated entities. Rather than auditing a single firm end-to-end, the reviewer focuses on one theme and benchmarks its effectiveness, coverage and tuning against best-practice expectations.
How does ComplianceSuite help with thematic reviews?
ComplianceSuite gives compliance teams the evidence pack a thematic review demands — exportable system-effectiveness reports, configurable test datasets for sanction and PEP screening, red-flag transaction-monitoring scenarios, tuning history with maker-checker sign-off, KYC remediation cohorts and a complete immutable audit trail. Reviewers (internal or external) can pull a self-service evidence room rather than waiting weeks for spreadsheets.
Which thematic-review areas are covered?
Sanction-screening effectiveness (true-positive / false-negative rates against synthetic test panels), transaction-monitoring rule performance (red-flag typology coverage, alert quality, threshold tuning), KYC and EDD remediation cycles, PEP and adverse-media coverage, beneficial-ownership identification, ongoing customer due diligence, and regulatory-reporting timeliness and accuracy (CRS, FATCA, FINTRAC, goAML).
Can we replay regulator test datasets?
Yes. ComplianceSuite ships with a sandbox-style test harness that lets compliance and internal-audit teams replay synthetic name panels and synthetic transaction sequences against the production rule set, in a non-destructive testing environment. Each replay produces a versioned scorecard — hits, misses, near-misses and rule-attribution — that maps directly to a thematic-review questionnaire.
What evidence does ComplianceSuite generate for the reviewer?
Per theme we generate: (1) a coverage map of rules, lists and data sources in scope, (2) a tuning history with every threshold change, approver and rationale, (3) effectiveness scores against synthetic test datasets, (4) sample alert and case dispositions with reviewer commentary, (5) outstanding remediation items with SLAs, and (6) an immutable audit-trail export. Everything is timestamped, hashed and downloadable as a single evidence pack.
Does this support regulator-led thematic reviews as well as internal ones?
Both. For regulator-led reviews we expose a read-only reviewer workspace with scoped access, watermarking and full read logging. For internal audit, second-line compliance and group-level oversight we provide the same workspace plus the ability to launch fresh tests, export historical performance and compare entities side by side under a multi-entity licence.
How does this relate to model-risk management and ongoing assurance?
Thematic reviews are a point-in-time deep dive; ongoing assurance is continuous. ComplianceSuite supports both — the same scorecards and synthetic test panels that satisfy a thematic review can be scheduled to run monthly or quarterly, so when the next review lands the evidence is already there and trended over time.
See an evidence pack assemble itself.
Bring a sample thematic-review questionnaire — we'll map it to ComplianceSuite, replay synthetic tests against a sandbox dataset and generate the reviewer pack in 30 minutes.
Multi-entity, multi-jurisdiction ready