Jobstream 8: Compliance & KYC

Summary

Module icon An integrated system for processing and monitoring clients to aid financial services businesses exposed to new legal and reputational risks in meeting policies on compliance.

N.B. This is an Option Pack module.

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Feature list

  • Extends the name and address records, to hold detailed histories of identification and address-verification actions, KYC notes, and customer-signoff details
  • Extends the client-entity records, to store profile information and entity-signoff details
  • Cross-references individuals and entities, so that you can see the KYC status of all the people associated with a trust or company
  • See all the roles (directorships, trusteeships, powers of attorney, etc) held by any individual
  • Record assessment of the customer’s risk profile
  • User-configurable tables to cater for jurisdiction differences
  • Integration with events to set reminders for future identification and address verification tasks, all of which appear in the diary and build into an full audit trail
  • Integration with document management to store and track documentation

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