Compliance Performance & Efficiency

Compliance teams operate without visibility into their own operational efficiency — spending significant time on manual remediation, duplicate screenings, and low-value investigations without knowing which activities consume the most resources or which processes are broken. A team that cannot measure KYC completion times, screening false positive rates, or investigation backlogs cannot optimise headcount, justify technology investments, or explain to leadership why capacity is constrained. Without performance data, compliance is seen as a pure cost centre rather than a measurable, scalable operation.

This solution measures compliance operations performance across all core functions, identifies resource drains and process inefficiencies, quantifies screening coverage gaps and vendor performance, and provides the data to optimise team capacity and prove ROI on compliance investments.

WHAT DOES IT SOLVE?

KYC & Onboarding Performance

• Answers: How efficient is the KYC process, where are the bottlenecks, and how does performance vary by customer type?

• Contains: KYC completion time tracking by customer segment and complexity, process bottleneck identification across document collection, verification, review and approval stages, abandonment rate analysis, staff productivity metrics, backlogs and queue monitoring, rework and rejection patterns, pass-through rates by verification stage

Screening Coverage & Vendor Performance

• Answers: What is the complete screening coverage across all vendors, where are the gaps, and how do vendors compare on effectiveness and cost?

• Contains: Coverage mapping across vendors and watchlist types, sanctions list and PEP database scope analysis, adverse media source inventory, geographic and entity-type coverage assessment, false positive rates by vendor and list type, hit-to-SAR conversion rates, cost per screening and per true hit, vendor API reliability and performance, value-for-money analysis

Data Quality & Remediation Performance

• Answers: How effective is the remediation of data gaps and quality issues, and what is the operational cost?

• Contains: Remediation case volume and completion rates, data quality issue categorisation, time-to-remediation by issue type, staff effort tracking, repeat remediation patterns indicating systematic issues, customer impact assessment

Compliance Case Management Performance

• Answers: How efficiently are compliance investigations managed, and where are cases getting stuck

• Contains: Case volume, QA patterns and trends, aging and closure rates by type, investigation time tracking from assignment to closure, case complexity analysis, escalation patterns, investigator productivity benchmarking, backlog risk assessment

Compliance Efficiency & Cost Analysis

• Answers: How much resources are allocated to each compliance process and where is screening effort wasted?

• Contains: Staff time allocation across functions & processes, cost per activity, productivity metrics by team, operational leverage analysis, capacity utilisation, false positive rates and investigation outcomes, hit-to-escalation conversion rates, backlog and aging analysis

CORE MODULES

Descriptive & Diagnostic

Compliance Capacity Planning

• Answers: How will volume growth affect headcount needs, and when will capacity constraints be hit?

• Contains: Predictive modelling of volume growth vs headcount requirements, capacity constraint forecasting by function, scenario planning under different growth and automation assumptions, ROI modelling for compliance technology investments, headcount vs technology trade-off analysis

Process Redesign & Automation ROI

• Answers: Which compliance process improvements deliver the highest ROI, and what should be automated first?

• Contains: Prioritised automation opportunity identification with expected time savings, ROI calculations for process improvements, implementation complexity vs impact scoring, automation roadmap with quick wins vs strategic initiatives, vendor selection criteria for compliance technology

Vendor Consolidation Decision Support

• Answers: Which vendors should be kept, consolidated or replaced for optimal coverage and cost?

• Contains: Optimal vendor configuration recommendations, consolidation scenario modelling with coverage impact, expected cost savings from rationalisation, migration planning and risk assessment, ROI projections for vendor changes

Screening Threshold Optimisation

• Answers: How should screening rules and thresholds be configured to reduce false positives while maintaining coverage?

• Contains: Optimal threshold recommendations by vendor and list type, rule configuration optimisation, fuzzy matching calibration, expected false positive reduction, regulatory compliance validation for threshold changes

ADVANCED MODULES

Predictive & Prescriptive

DELIVERABLES

Built in PowerBI, Tableau, or Looker & adhering to client's brand book

Dedicated tab per analysis plus executive summary overview

AI-generated insights and recommended actions per analysis

SQL queries built in client's database system with controlled access

Python scripts for statistical and ML models (if applicable)

Added to client's GitHub repository, or delivered as standalone package

Technical Guide: Data sources, logic, formulas & maintenance procedures

Analysis Handbook: Metric definitions, interpretation, use cases & action framework

Dashboard

Code Base

Documentation

Knowledge Transfer

Live & Recorded walkthrough of dashboard functionality and insights

Q&A session covering methodology, use cases, and recommendations

30-day post-delivery support for questions and adjustments

MAIN REQUIREMENTS

• Transaction and operational data must be accessible in a relational database

• BI Platform Subscription with data base gateway for dashboard automation.

• Relevant APIs & ETL workflows should be functional and consistent.

Data Infrastructure*

• Screening Results Data - All screening hits and matches from all vendors with match scores, list types, and disposition outcomes

• Investigation & Resolution Data - Investigation outcomes, true positive vs false positive classifications, SAR filings, and resolution times

• Vendor Configuration & Costs - Active screening vendors, watchlist subscriptions, API configurations, and vendor fees

• Screened Entities (customers, beneficiaries, counterparties) including screening frequency, and risk classifications

Data Sets

*Data infrastructure set up is out of scope. It can be provided as a separate engagement.