Alert and Transaction Monitoring Webinar

In this session, fscom’s Associate Director, Fred McDowell provides detailed information on the importance of having up to date and proportionate transaction monitoring systems within your firm.

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Alert and Transaction Monitoring Webinar

Transaction monitoring is a key regulatory requirement and an important tool in identifying client transactions that warrant further review. Transaction monitoring systems will seek to identify client transactional behavior that is unusual or materially different than what would have been expected when the client was onboarded. The review of Transaction Monitoring alerts may result in further investigations.

Recent fines highlight the need for firms to be able to evidence appropriate oversight and governance on their transaction monitoring detection scenarios.

We will cover:
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What is alert and transaction monitoring?
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What does it do?
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What obligations do you have regarding transaction monitoring?
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Alert and transaction monitoring governance.
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Alert and transaction monitoring framework.
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About fscom

At fscom, we strive to offer excellent service in a professional and personable manner. We deliver this through our unrivalled understanding of financial services regulation and a strong emphasis on taking a commercial and innovative approach that puts our clients’ needs first.

We are specialists in providing regulatory advisory services to a broad range of financial services institutions including payment services and e-money, retail banks, cryptocurrency, trading and broking and asset management firms.

We work across three core areas of regulatory compliance, financial crime and cyber security and provide a range of services including compliance advice, authorisations, audits, interim roles and compliance training.
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