SubjectRequirement — providers by status
Records worked17
AML escalation workflow software
Staff escalate a concern to the AMLCO or a manager, and the outcome is recorded. Different from the SMR workflow, which starts once a suspicion has formed.
Tickmark legend
- Agreedagreed to public source
- Queriedqueried — conditional or limited
- Not obtainednot obtained — not a 'no'
- Not agreednot agreed — confirmed absent
Every record, by status
| Product | Type | Status | Note |
|---|---|---|---|
| duely | platform | Agreed | Vendor states escalations go to the AMLCO, the engagement is held until decided, and the person who raised it is told whether they can proceed. Routing is to the AMLCO only. |
| easyAML | platform | Agreed | Vendor knowledge base states high-risk transactions notify the compliance officer or senior manager, who must sign off before the service proceeds, and staff-raised unusual activity reports go to the compliance officer for review. |
| First AML | platform | Agreed | Help centre states cases go to Ready for Review and must be approved by an assigned compliance reviewer (multi-stage approval possible) or reworked, and vendor states risk thresholds can apply senior review automatically. |
| AMLCompliant | document-pack | Queried | The kit includes an unusual activity report, escalation form, review form and escalations register as Word documents (document 16); there is no system that routes or notifies. |
| AML Guard | platform | Queried | Vendor states SMR preparation has an officer approval step and case reviews go through draft, submitted for review and approved stages between the officer and the signing manager; it does not describe staff-raised escalations with the outcome notified back. |
| AMLHUB | platform | Queried | Vendor states a complex check can be handed off from the app to the admin team or to AMLHUB's outsourcing staff, and there are registers for internal reports; routing to the AMLCO with the outcome notified back is not described. |
| AMLTranche | platform | Queried | Vendor states the SMR workflow splits staff intake from a reviewer role; it does not describe the outcome being recorded or notified back to the staff member who raised it. |
| ClearAML | platform | Queried | Product docs offer an Escalate decision on screening matches and automatic EDD escalation for high-risk assessments, but do not describe how an escalation is routed to the compliance officer or how its outcome is notified back. |
| ComplyReady | platform | Queried | Vendor lists internal flagging and escalation in the SMR register; routing to the compliance officer and notification of the outcome are not described. |
| OverSEER AML | platform | Queried | Vendor shows a 'Pending Reviews and Approvals' queue for draft customers, EDD-required items and document review. Routing to the AMLCO and notification of the outcome are not described. |
| SimpleAML | register | Queried | Vendor states the SMR and incident register records the AMLCO's review date and outcome. The app is single-user and browser-local, and no routing or notification to the AMLCO is described. |
| Syntrico | platform | Queried | Vendor states monitoring alerts convert into investigation cases with outcomes and audit trails recorded through to closure, and the program defines escalation roles and approvals; routing a staff-raised escalation to the AMLCO or a manager in the product is not described. |
| TrustSoft | module | Queried | Vendor states escalations and compliance manager approval are built in. Recording or notifying the outcome is not described. |
| AML SoftServe | platform | Not obtained | Not confirmed by the current public record — a question to ask. |
| FreeAML | verification | Not obtained | Not confirmed by the current public record — a question to ask. |
| NameScan | verification | Not obtained | Not confirmed by the current public record — a question to ask. |
| StackGo IdentityCheck | verification | Not obtained | Not confirmed by the current public record — a question to ask. |
| Agreed to source | 3 | 10 queried · 4 not obtained · 0 not agreed |
Related requirements
AML program softwareAML program maintenance softwareIndependent evaluation supportAML risk assessment softwareAML staff training softwareKYC softwareKYB softwareBeneficial ownership softwareECDD workflow softwareReliance workflow softwareElectronic identity verification softwareLiveness detection software
FAQ
Which providers support aml escalation workflow software?
duely, easyAML, First AML are recorded as supporting it.
Does aml escalation workflow software mean the same thing in every product?
Staff escalate a concern to the AMLCO or a manager, and the outcome is recorded. Different from the SMR workflow, which starts once a suspicion has formed. Providers marked “partial” support it conditionally or incompletely — check exactly what is included.