AML Investigation

Use this template to analyze suspicious activity alerts, customer context, transaction patterns, and disposition rationale.

Template Metadata

Alert Summary

State alert ID, scenario, period, customer, accounts, and triggering thresholds.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Customer Background

Summarize KYC profile, occupation or business, expected activity, risk rating, and relationship history.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Transaction Analysis

Analyze credits, debits, cash, wires, ACH, counterparties, velocity, and unusual patterns.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Red Flags and Mitigants

List suspicious indicators, customer explanations, supporting evidence, and mitigating facts.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Prior Activity and Case History

Reference prior alerts, SAR filings, law enforcement requests, and account restrictions.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Disposition Recommendation

Recommend close, monitor, escalate, or SAR with clear rationale.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Evidence Retained

List reports, statements, screenshots, notes, and reviewer approvals retained in the case file.

Notes

[Add context, assumptions, exceptions, evidence links, screenshots, calculations, or reviewer comments.]

Review and Signoff

Document review conclusions, approvals, unresolved items, and next review date.