Policy template · version 2
Transaction Monitoring
Watch every transaction on your rails against a documented rule library, work each alert to a written resolution on a clock, and send the sponsor bank a complete referral package when activity cannot be explained. The bank decides whether to file; your job is to make sure nothing reaches it late, thin, or not at all.
What’s in this policy12 sections · Transaction Monitoring · Read the full policy
10Obligations · things you must do
20Evidence · records that prove it
4Monitoring · checks and deadlines
Does this apply to you?
Answer a few questions and each obligation is marked applies, likely, or needs more information.
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Every obligation in this policy, in one request.
What the policy requires
Run the rule library over every business day’s transactions
Run the workflow
Complete each full investigation within ten business days
Prepare for review
Send the referral package in two business days and track it
Prepare for review
Keep referrals confidential and act only with the bank
Specialist-led
Report rule performance monthly and calibrate at 90 days, then yearly
Prepare for review