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Index
Implementation of Anti-money Laundering Information Systems
Copyright
Contents
Legal Notes
Chapter 1 Introduction
About This Book
The Target Audience And Scope Of This Book
How This Book Is Organized
Acknowledgements
Chapter 2 Anti-money Laundering Compliance
What Is Money Laundering And Terrorist Financing?
The Stages Of Money Laundering
Overview Of Aml Laws And Regulations In The United States And Canada
The Cost Of Non-compliance
Key Components Of An Aml Compliance Program
Three Lines Of Defense In Aml Compliance
Customer Acceptance And Maintenance Rules
The Risk Based Approach And Risk Assessments
Iso 19600:2014 And Other Compliance Frameworks
Chapter 3 Key Components and Functions of Aml Information Systems
Watch-list And Media Screening
Ofac Sanctions
Other Watch-lists
Adverse Media
Transaction Monitoring
Dynamic Risk Rating And Due Diligence
Unusual Activity Detection
Network Analysis
Peer Group Analysis
Case Management And Workflow
Ctr/lctr And Sar/str Reporting
Other Modules And Interfaces
Chapter 4 Unified Project Management and Implementation Framework
Implementation Challenges
Some Aml Survey Results
Lessons Learned From Others
Stakeholders And Governance Model
Stakeholder Analysis
Implementation Governance
Work Breakdown Structure And Project Management Framework
Wbs And Implementation Planning
Change Management
Other Implementation Management Topics
Phased Approach
Project Versus Program
Waterfall Versus Agile
Projects Versus Operations
Chapter 5 System Implementation Life Cycle
Pre-deployment
Current State, Future State And Gap Analysis
Aml Typologies And Models
Bcbs 239 Principles
Business Requirements
Cots And Vendor Selections
Systems Specifications, Architecture And Design
Systems Building
Systems Testing
Deployment
Data Loading Or Migration
Configuration Settings
Production Readiness Check
Information Security And Data Protection
Business Continuity Plan And Disaster Recovery Plan
Documentation And Training
Life After Production Deployment
Support And Operations
Performance Reporting And Benchmarking
Calibration And Enhancements
Appendix A Entity Resolution
The Classical Soundex Algorithm
Name/attribute Matching
Challenges
Name/attribute Variations
Metrics And Measures
False-positives/false-negatives Reduction
Appendix B Major Funds Transfer Systems
Major Funds Transfer Systems In The United States
Wholesale Payment Systems
Retail Payment Systems
Major Funds Transfer Systems In Canada
Lvts
Acss
Resources References
Endnotes
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