ACAMS
CAMS · Question #710
A financial institution (FI) is investigating an alert generated by the automated transaction monitoring system. The AML analyst must determine whether the alert should be escalated for further invest
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Conducting and Responding to Investigations
Question
A financial institution (FI) is investigating an alert generated by the automated transaction monitoring system. The AML analyst must determine whether the alert should be escalated for further investigation or archived as a false positive. Which action might be reasonable for the AML analyst to take?
Options
- APerform below-the-line testing to ensure the automated monitoring system is operating effectively.
- BSend a request for information (RFI) to the counterparty bank involved in the transaction that
- CRequest information from the relationship manager assigned to the account that caused the alert.
- DRestrict the client's access to the account.
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Topics
#transaction monitoring#alert triage#false positive#investigation escalation