AML Case Management: Alert to Filed SAR

Correlate alerts into cases, investigate, and file SAR/STR with an append-only audit trail

AML Case Management: Alert to Filed SAR Correlate alerts into cases, investigate, and file SAR/STR with an append-only audit trail 01 / Monitoring 02 / Triage 03 / Case Investigation 04 / Filing EX / Closure 06 / Audit Trail Detect Investigate Report AML Alert · rule fired · Monitoring › Detect AML Alert rule fired Triage · score + dedupe · Triage › Detect Triage score + dedupe Case · correlate subject · Case Investigation › Investigate Case correlate subject Investigate · enrich + narrative · Case Investigation › Investigate Investigate enrich + narrative Decision · MLRO approves · Filing › Report · SoD Decision MLRO approves SoD File SAR/STR · submit to FIU · Filing › Report File SAR/STR submit to FIU Auto-close · reason-coded · Closure › Detect Auto-close reason-coded No Action · documented · Closure › Report No Action documented Audit Log · append-only · Audit Trail › Investigate Audit Log append-only false positive Legend User UI Agent logic Policy Tool action Context / trace

Alerts Are Not Cases

  • • Alerts are high-volume, cheap signals
  • • A case correlates many alerts per subject
  • • Triage auto-closes 90%+ with reason codes

Every Decision Is Logged

  • • State transitions are append-only
  • • Auto-close is a logged decision, not a drop
  • • Separation of duties gates the filing

The Regulatory Clock

  • • Filing deadline runs from determination
  • • Anti-tipping-off compartmentalizes records
  • • FIU acknowledgment is stored immutably

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