Regulatory Reporting Automation

Compliance teams that manually compile data from multiple systems lose dozens of hours per month on recurring reports, with constant risk of late filings or data errors that trigger regulatory scrutiny with every regulatory change means rebuilding manual processes.

This solution automates various recurring & triggered regulatory reports & filings for efficient, accurate and on time submissions.

WHAT DOES IT SOLVE?

AML & Financial Crime

Automated SAR/STR/CTR data compilation from transaction monitoring systems, sanctions match reporting workflows, filing approval routing and submission, deadline tracking and alerts, data quality validation pre-submission, filing history and audit trail, regulator acknowledgment tracking

Wire & Cross-Border Transactions

Automated extraction and formatting for wire transfer reports, cross-border transaction filings, and large payment notifications, jurisdiction-specific reporting logic across SWIFT, SEPA, and FedWire, threshold monitoring and auto-trigger for reportable transactions, batch submission preparation, exception handling for incomplete data

Prudential & Financial Returns

Automated capital adequacy calculations and reporting, safeguarding account reconciliation and submissions, client money segregation reporting, liquidity and financial position reports, regulatory balance sheet preparation, submission scheduling and tracking

Credi & Loan Portfolio

Automated AnaCredit compilation and submission, consumer credit data returns, credit concentration reporting, portfolio quality metrics for prudential regulators, recurring cycle scheduling and exception handling

RECURRING REPORTS

AUTOMATION

Arrears & Forbearance

Automated delinquency data extraction and submission, forbearance arrangement reporting, repossession activity tracking, debt collection metrics compilation, event-driven triggers for material deterioration, FCA and EBA submission formattingTransaction Reporting Automation

Incidents & Consumer Protection

Automated incident reporting workflows for outages, data breaches, and fraud events, customer complaints data compilation and regulatory submissions, service availability and uptime reporting, vulnerable customer metrics, fair treatment reporting, operational resilience submissions

Payment Scheme Compliance

Visa and Mastercard compliance statistics automation, fraud reporting to card schemes, network rule compliance attestations, PCI-DSS reporting requirements, scheme audit evidence compilation, operating regulation metric tracking

TRIGGERED REPORTS

AUTOMATION

DELIVERABLES

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

Code Base

Documentation

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*

Transaction & Activity Data -with amounts, parties, geographies, payment methods; suspicious activity flags and investigation outcomes
Account & Customer Data - Customer accounts, safeguarding balances, client money segregation, KYC documentation, complaints records
Operational Data - System incidents, outages, service disruptions, fraud events, security breaches, SLA performance
Financial & Prudential Data - Capital positions, liquidity metrics, balance sheet data, reconciliation records, own funds calculations
Compliance Activity Data - Filing submission history, regulator correspondence, license conditions, material change notifications

Data Sets

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