Focused review
Transaction Monitoring Sample Audit
Independent testing of alert queues, investigator notes, and escalation decisions against the money movements that triggered them.
Why sample the queue
Alert volumes can look healthy while disposition quality drifts. We reconstruct a set of closed and escalated alerts, compare investigator conclusions to the underlying payments, and note where thresholds, suppression, or haste leave residual risk.
Deliverables
- Sample workbook with disposition assessments
- Themes in false negatives and over-cleared alerts
- Recommendations on training, escalation criteria, and MI indicators