This document provides an overview of Dun & Bradstreet's Compliance capabilities and solutions. It discusses how regulatory compliance is largely about managing data related to customers, suppliers, and third parties. It notes the increasing complexity of the global regulatory landscape. The document then outlines the high costs organizations face due to bad data, such as duplicate suppliers and poor quality customer data. It introduces D&B's tools and datasets that help organizations reduce costs, mitigate risk, and ensure regulatory compliance through features like entity resolution, ownership data, screening against watchlists, and monitoring capabilities. In summary, the document promotes D&B's compliance solutions for managing third-party risk, customer due diligence, and overall regulatory compliance through leveraging its global datasets

1. D&B Onboard
Understanding and speaking to the value of our
Compliance capabilities
INTERNAL USE ONLY

2. It takes 20 years to build a reputation
and five minutes to ruin it.
If you think about that, you'll do
things differently.
WARREN BUFFET

3. 3
Much of Regulatory Compliance
is all about the Data...
– What you know,
– What you’re told,
– What you can verify, and
– What you can monitor
Companies can’t simply rely on
paper-thin assurances by employees,
distributors or customers.
Chief of the SEC Enforcement Division’s Foreign Corrupt
Practices Unit
INTERNAL USE ONLY

4. 4
The regulatory landscape is becoming increasingly more
complex and diverse.
An increasing convergence of regulations govern how and with whom you do business globally
Global Focus on Sanctions and Export Controls
OFAC 50% Rule • UN and EU Sanctions
Anti-Money Laundering and the Bank Secrecy Act
4th EU AML Directive • FinCEN Final Rule
Data Governance & Financial Regulations
FATCA/CRS • Solvency II • Basel III
Anti-Corruption Laws and Regulations
FCPA • UKBA • CFPOA
Environmental, Social, Governance Regulations
UK Modern Slavery Act • RoHS Directive •WEEE
Directive
Global Focus on Supplier Management
FAR Regulations
Of CPOs feel
that regulatory
concerns are the
#1 issue they are
facing.
(SCM World Future
of Supply Chain
Survey, 2015)
The most
challenging
aspect of an
organization’s
compliance
program is
managing
third-party
compliance risk.
Global spending
on AML
compliance is set
to grown to
more than $8
billion by 2017.
46% #1
>$8B 110%
Increase in the
number of
regulations
enacted since
2000 vs.
previous century
INTERNAL USE ONLY

5. 5
What does bad data cost organizations today?
INTERNAL USE ONLY
50% of the total operations
time that operational risk
professionals waste in hunting
for data, finding and
correcting errors, &
searching for confirmatory
sources for data they don’t
trust.
The average number of
duplicate or redundant
suppliers for a 100k
supplier base can be from
10% up to 30% including
inactive vendors
75% of total AML cost
associated with bad data
management.
The average total cost of
ownership (TCO) to
source & onboard a
supplier, transact with it
& manage the relationship
on an ongoing basis is
$925
Financial firms are spending
up to $500 million on
KYC/Customer Due
Diligence (CDD) compliance.
With the new Beneficial
Ownership requirements, this
number will increase
The poor quality data
cost companies
$3.1 trillion in the U.S.
alone, in 2016.
More than 25% of critical
data within large
businesses is somehow
inaccurate or incomplete
Poor MDM data quality
costs the typical company
up to 30% of revenue

6. 6
The Data Details
INTERNAL USE ONLY
Principals /
Key Execs
Beneficial Owners
Industry
Classifications
Firmographics
(Age, Size, Financials,
Decisions, Ownership,
Market, etc.)
Commercial Entity
Identifying Data
•Uniquely identify the
entity – who it is and
identifying risk associated
Geo Location
Corporate Hierarchy
& Linkage
Diverse Businesses Trade Coverage
Proprietary Entity
Identifier
Public Filings Watchlists State Owned Entities
Macroeconomic
Indicators

7. Dun & Bradstreet leverages world class data and analytics to
provide you with deeper insight into who you are doing
business with, whether it’s a customer, supplier, distributor or
third party
INTERNAL USE ONLY
Why Dun & Bradstreet for Supply & Compliance?

8. R E P U TAT I O N A L &
B R A N D P ROT E C T I O N
Supplier
Intelligence
Ethical &
Responsible
Sourcing
FCPA
Anti-bribery
& Sanctions
D&B
MASTER
DATA
KnowYour Customer
& Anti-money Laundering
R E D U C E C O S T S
M I T I G AT E R I S K
AC C E L E R AT E D U E
D I L L I G E N C E
T
H
I
R
D
-
P
A
R
T
Y
R
I
S
K
&
C
U
S
T
O
M
E
R
M
A
N
A
G
E
M
E
N
T
S
T
R
A
T
E
G
Y
M O N I T O R I N G
& A L E R T S
A D V A N C E D
A N A L Y T I C S
O N B O A R D I N G
& S C R E E N I N G

9. 9
Tax Reporting
Third party
Due-Diligence
Customer
Due-Diligence
We support our clients to reduce their regulatory burden in 4
focus areas
Global
Compliance
Dataset
Data
Governance
CONFIDENTIAL
COMPLIANCE LINE OF BUSINESS

10. 10
Our data and technology is supporting our customers to build
robust compliance programs and cultures
§ Entity Resolution
§ Aggregated risk
calculation
§ Concordance
§ Classification
§ Form Capture
§ Reporting
§ Entity verification
§ UBO & Principal
identification
§ Monitoring &
Workflow
Management
§ Watch list
screening
§ PEP Identification
§ Adverse media &
Corporate
litigation
§ Open source
searching
CONFIDENTIAL
COMPLIANCE LINE OF BUSINESS
Global
Compliance
Dataset

11. 11
Most customer workflows include some level of each of these
core elements
Identify
• Identify the
specific
customer
that is being
enquired
upon
Verify
• Verify a set of
data against
that business
based on Risk
based
approach
Enrich
• Establish
ownership of
business and
determine
Ultimate
Beneficial
Owners
Screen
• Screen
entities
against
sanctions list
Monitor
• Monitor for
changes to
ensure
continued
compliance
Audit
• Demonstrate
adherence to
policy for
each case

12. D&B Onboard
Real time verification and screening tool that connects the right global data insight,to meet
customer due diligence objectives.

13. 13
D&B Onboard Introduction
D&B Compliance Solutions
WHAT?
HOW?
WHY?
D&B Onboard is an online solution enabling you to carry out your Customer/Vendor Due
Diligence, Verification & Screening processes faster with the right data insight, on a global
scale, in one place.
Onboard blends together D&B global business data and insight on over 300 million records
that are updated 1.5 million times over 30,000 sources each day, providing you with the
information you need to confidently identify and manage target entities.
Additionally, through our partner, the Regulatory Data Corp, we can support screening of
the business and individuals against Sanctions, PEP lists and adverse media.
This is essential since you need to make the most efficient use of your time, so you can
drive a consistent & confident approach to your due diligence processes, while managing
tight deadlines from your end users.

14. 14
• How can I verify the authenticity of the information that my
client/vendor has sent me?
• How do I shorten the time it takes to onboard a client?
• How can I ensure regulatory Compliance when identifying
Ultimate Beneficial Owners?
• How can I quickly identify potential Regulatory or Brand
Risks if I engage with a new customer/supplier?
• How can I store this data for transparency and reuse,
ensuring I have a picture of my entire engagement with a
client?
• How do I keep my client data fresh so I am acting on the
latest information?
COMPLIANCE LINE OF BUISNESS
D&B Onboard
Continuous
Risk
Assessment
Identify
Verify &
Enrich
Establish
Ownership
Screen
Conflict
Check
Report &
Audit
Review
&
Monitor

15. 15
Many businesses are unable to conduct
due diligence efficiently and din it
difficult to:
Verify: Know if a business and its
principals are who they say they are.
Screen: Consolidate information from
hundreds of adverse databases in order
to conduct a thorough evaluation and
make informed compliance decisions.
Digitally Document: Respond quickly to
auditors and regulators to demonstrate
due diligence was performed.
Customer Pain Points
D&B Onboard facilitates compliance decision
making in three steps:
Verify potential business partners: Validate
business identity against D&B global database of
over 300 million businesses to determine if it is
accurately representing itself.
Screen businesses and principals: Evaluate
confirmed business and named individuals by
searching over 18 million records matched to
PEPs, watch and sanctions lists, adverse media and
regulatory actions.
Document your compliance process: Electronically
store and archive your due diligence results,
including a breadcrumb audit trail, user-entered
notes, snapshots of reports used and time, date
and user stamped activity
Product Overview
D&B Onboard
Avoid compliance threats with comprehensive due diligence
D&B Onboard is a verification and
screening tool that connects the right
global data insight, to meet customer
due diligence objectives
Value Proposition
Supply and Compliance with D&B Workshop - INTERNAL USE ONLY

16. 16
Connect the right global data insight,to meet customer due diligence objectives
Client Tasks Onboard Capabilities Benefits
Compliance function
• Compliance Officers are required to
undertake enquiries, complete and
Maintain Records, track name changes,
transfers of interest, changes in structure
• Evaluate AML risk, Provide Authorisation
• Ensure CDD carried out in line with AML
regulations
• Set Company Guidelines, Policies
• Act as a second line of defence
Business Line officers
• Analyse entities/ individuals for client
advisory purposes
• Make decisions in line with internal
compliance rules and regulation
• Act as the first line of defence for AML
and implementing KYC
Match & Search
Reports & Documents
Help Meet Regulation
Reduce Risk
• Product/ Service risk
• Delivery channel risk (remote customers)
• Manage jurisdiction risk
• Identify the legal structure
• Understand entity financial risk profile
• Identify the individuals behind the entity
• Identify Politically Exposed Persons
• Identify entities under sanctions list
• Enhance monitoring capabilities
• Write more informed Suspicious Activity
Reports (SAR’s)
• Electronic and Secure record keeping for
Internal Reporting process
Implementation of CDD Process
Other
• Data Management
• Improve Speed in Risk identification
• Better use of internal resources
• Brand Preservation
• Better investment decisions
Sanctions, PEP’s & Media Screening
Alerts
Portfolio
Snapshots
Investigations
Identify,
Verify,
Enrich,
Screen,
Monitor,
Audit
Compliance
Data
Set
Internal Use Only
INTERNAL USE ONLY

17. KnowYour - Customer Due Diligence for
Asia
Compliance (CDD/ Onboard)
INTERNAL USE ONLY

18. 18
What is Customer Due Diligence (CDD)
INTERNAL USE ONLY
“Customer Due Diligence means taking steps to
identify your customers and checking they are who
they say they are”
-UK Government

19. 19
Tax Reporting
Third party
due-diligence
Customer
due-diligence
Customers need to reduce their regulatory burden and deliver
growth via their Customer Due-Diligence programs
INTERNAL USE ONLY
Global
Compliance
Dataset
Data
Governance
Delivery
• APP
• API
• Batch

20. 20
CDD in Context: Crime has already taken place
INTERNAL USE ONLY
Our focus

21. 21
INTERNAL USE ONLY
Financial and Credit Institutions
Legal professionals
Logistics, Mobile & Retail
Bookmaker
Government Agency,
Education
Broker Dealers
Trust or Company Service Providers
Manufacturing
Accountants, Tax Advisors
Auditors, Insolvency Practitioners
• Money Laundering Reporting Officer
• AML (Senior) KYC Analyst/ Officer
• Fraud Manager
• Chief Compliance Officer
• Compliance Officer
• Operational Compliance Officers
• CDD File Reviewer
• Investigative Officers
• Credit Control Analyst
• Procurement Officers
• Knowledge Managers
• Information Researchers
• Business Line Analysts/ Associates
• Cross Business Officers and Managers
• Auditor Managers/ Officers
Customer Due Diligence
Oil & Gas
Cards & Payment Services
Internal Use On

22. 22
CDD Panorama
Content Content Technology Product Client Service Client Types Client Technology Client Roles Client Outcomes
Global Data
260+ m
entities
DUNS #ID
Entity
Matching
Corporate
Linkages
Beneficial
Ownership
Watch lists/
Sanctions
lists
PEP’s &
Adverse
Media
Local Sources DB’s
Global Sources DB
GSRL7/5
World base
Ownership
ATLAS
Strategy
CDP
Use Cases
Competitor
Intelligence
Business
Requirements
Vision, Mission, Goal
Application
Direct API
Entitlements
Roadmap
Strategy
QA support
Release Cycle
Proposition
Commercials
Content
Priorities
Screening tool
Marketing
Train the Trainer
UX/ UI Design
Service Setup
Billing
Client Training
Account
Management
Query Handling
API connectivity
User ID and PWD
Financial and Credit
Institutions
Legal professionals
Auditors, Insolvency
Practitioners
Accountants
Tax Advisors
Manufacturing
Trust or Company Service
Providers
Broker Dealers
Government Agency
Education
Logistics, Mobile & Retail
Bookmaker
End User, PC, Web
Internal Platform
Third Party Platform
File delivery
Money Laundering Reporting
Officer
Fraud Manager
AML (Senior) KYC Analyst/
Officer
Compliance Officer
CDD File Reviewer
Chief Compliance Officer
Investigative Officers
Credit Control Analyst
Procurement Officers
Knowledge Managers
Information Researchers
Business Line Analysts/
Associates
Audit team members
Cross Business Officers and
Managers
Meet Regulation
Manage Inspections
-Data Security
Reduce Risk
-Product/ Service
-Delivery channel risk
-Jurisdiction
Identify
-Legal structure
-Individuals
-PEP
-Sanctions
-Financial risk
Write Reports
CDD Process
Training
Data Management
Faster responses
Better use of internal
resources
Brand Preservation
Thought Leadership
INTERNAL USE ONLY

23. 23
Know your customers
INTERNAL USE ONLY

24. 24
Onboard supports CDD & Corporate objectives
INTERNAL USE ONLY
Ongoing
Screening and
Monitoring
Smoothly
Onboard
New Entities
Client
Experience
Refresh
Existing
Records
Cost Savings
Quicker time to revenue
Cross Sales
Water Tight Compliance
Increase Efficiency
Corporate Objectives
Onboarding Objectives - Customer Due Diligence
Risk Based
Approach
Standard CDD
Simplified CDD
Enhanced CDD

25. 25
The key concerns a CCO faces
AVOID
REGULATORY
INVESTIGATIONS
OR PENALTIES
SUPPORT
GROWTH
WITHOUT
COMPROMISING
COMPLIANCE
MANAGE
DISPARATE
SOURCES OF
INFORMATION
AND DATA
ACCURACY
OVERCOME
LACK OF
RESOURCES
OWINGTO HIGH
PROCESSING
TIME
INTERNAL USE ONLY
Thought Leadership

26. 26
Data – what we
provide today
INTERNAL USE ONLY
300+ million legal entities
Public and Private Companies
Over 5 million daily updates
75 – 125 Million updates monthly
5 Year historical company financials
Linkages: 17+ million active records are legally linked as part of a
corporate hierarchy/ 2.4 million records have alternative linkage
Ownership down to 0.1%
Corporate family tree
UBO
Identity and Firmographic
Business Name, Address, Phone Number, Contact Name,
Employee Number, Sales Volume, Line of Business
Actual Company Accounts, UK&I
Other: Events: ISO and Case Reference
Predictive Scores, Trade Payments Data
Transparency International
Sanctions/ PEP/ Adverse Media

27. 27
The data mapped to use cases: Financial Services
INTERNAL USE ONLY
Chief Compliance
Officer
•Oversight and management of the overall compliance framework for, and delivery of compliance support.
•Overseeing the effective and proactive delivery of compliance support across the full range of core compliance functions and
compliance related matters
MLRO
•The Money Laundering Reporting Officer (MLRO) has the responsibility to receive internal disclosures of unusual activities,
decide whether such internal disclosures should be reported to the authorities as a Suspicious Activity Report (SAR), and if
appropriate report such SARs.
Compliance
Officer
•Support the implementation of an annual compliance monitoring plan to cover all aspects of the company's regulated
activities and Financial Crime
AML Analyst
•Assist with the continuing client due diligence (CDD) procedures both pre and post client/ investor on boarding.
•The Analyst is expected to be the key advisor to the business, clients and investors on AML matters
•Analysis of findings of AML monitoring and production of reports for the MLRO and Deputy MLRO
Reports
Reports
Reports, Search (basic and advanced), Snapshots, Alerts, Entity and People Screening
Information
Reports, Search (basic and advanced), Snapshots, Alerts, Entity and People Screening
Information

28. 28
The data mapped to use cases: Financial Services
INTERNAL USE ONLY
Researcher
• Responsible for providing research services involving legal, business, and general information sources
to colleagues using a variety of print and electronic research sources
Knowledge
Managers
• The main function of the knowledge sharing position would be to help champion organization-wide
knowledge sharing, so that the organization s know-how, information and experience is shared inside
and (as appropriate) outside the organization with clients, partners, and stakeholders
Analysts
• Business line analysts are part of multiple revenue and client facing teams such as corporate finance,
loans, capital markets, treasury bills, trading, broking, fixed income teams, marketing
Search (basic and advanced), Reports, Snapshots, Investigations
Reports Data
Reports, Search (basic and advanced), Snapshots, Alerts, Entity and People Screening
Information

29. 29
The data mapped to use cases: Legal
INTERNAL USE ONLY
Compliance
• When a law firm on-boards a new client the compliance team carry out due diligence / AML research on the client
Conflicts
• When a law firm opens a new matter (case), this team is responsible for checking whether there is s conflict
between representing a particular company and a company they already act for. This is determined by using the
family tree data to identify conflicting entities within the same corporate group.
Data
Governance
• This team is responsible for verifying that client data within internal systems is accurate
Business
Development
• Occasionally use Onboard for researching companies. However, this is not a primary use case
Reports, Search (basic and advanced), Snapshots, Alerts, Entity and People Screening
Information
Reports, Search (basic and advanced), Snapshots, Alerts, Entity and People Screening
Information
Reports, Search (basic and advanced)
Reports, Search (basic and advanced), Enhanced Screening,

30. 30
Connect the right global data insight,to meet customer due diligence objectives
Client Tasks Onboard Capabilities Benefits
Compliance function
• Compliance Officers are required to
undertake enquiries, complete and
Maintain Records, track name changes,
transfers of interest, changes in structure
• Evaluate AML risk, Provide Authorisation
• Ensure CDD carried out in line with AML
regulations
• Set Company Guidelines, Policies
• Act as a second line of defence
Business Line officers
• Analyse entities/ individuals for client
advisory purposes
• Make decisions in line with internal
compliance rules and regulation
• Act as the first line of defence for AML
and implementing KYC
Match & Search
Reports & Documents
Help Meet Regulation
Reduce Risk
• Product/ Service risk
• Delivery channel risk (remote customers)
• Manage jurisdiction risk
• Identify the legal structure
• Understand entity financial risk profile
• Identify the individuals behind the entity
• Identify Politically Exposed Persons
• Identify entities under sanctions list
• Enhance monitoring capabilities
• Write more informed Suspicious Activity
Reports (SAR’s)
• Electronic and Secure record keeping for
Internal Reporting process
Implementation of CDD Process
Other
• Data Management
• Improve Speed in Risk identification
• Better use of internal resources
• Brand Preservation
• Better investment decisions
Sanctions, PEP’s & Media Screening
Alerts
Portfolio
Snapshots
Investigations
Identify,
Verify,
Enrich,
Screen,
Monitor,
Audit
Compliance
Data
Set
Internal Use Only
INTERNAL USE ONLY

31. 31
SalesWin – Master Data & Compliance
The UK team closed a deal for $400k by selling a combination of D&B Onboard and data services.
A bank with an immature due diligence program, had a two-fold need: they had recently failed regulator
inspections and they need to prepare for the fast approaching May FinCEN deadline.
Will, along with the Brian, worked with two separate divisions at the bank and created a full D&B
solution; high risk mediation for the Bank Security Account group and D&B Onboard with Beneficial
Ownership for the BAU group needing customer due diligence.
Because of the customer’s immature model, they were able to become trusted advisors and led with the
D&B data value story. And the partnership isn’t over yet. Working closely with the customer, Will and
Brian are developing tiered, risk-based approach to enhanced due diligence reporting focused on high
risk accounts for additional screening against sanctions, adverse media and PEPs.
This is a great example of how listening to the customer and creating complete solutions to address
their need can really pay off.
Failed regulator inspections & preparing for FinCEN grew a $35k
opportunity into a $400k sale.
Supply and Compliance with D&B Workshop - INTERNAL USE ONLY

32. 32
OVERVIEW
Features
Content
• 300+ million legal entities including
corporate family trees and
ownership down to 0.1%
• Over 5 million daily updates to our
global proprietary database covering
ownership changes, key executives &
location moves.
• Globally consistent identity &
compliance content, linked through a
unique identifier from cradle to
grave (DUNS)
• 5 Year historical company financials
• Languages (English, German, Dutch,
French)
Capabilities
• Search: Basic and Advanced Options
• Snapshots: Saved Last seen report
• Investigations: Launch a investigation
• Portfolio
• Alerts
Delivery Mechanism(s)
• GUI: Onboard
• API: Direct
Benefits
Customer Types
• Financial and Credit Institutions
• Legal professionals
• Auditors, Insolvency Practitioners
• Accountants, Tax Advisors
• Manufacturing
• Trust or Company Service Providers
• Broker Dealers
• Government Agency, Education
• Logistics, Mobile & Retail
• Bookmaker
Use Cases
• Money Laundering Reporting Officer
• AML (Senior) KYC Analyst/ Officer
• Fraud Manager
• Chief Compliance Officer
• Compliance Officer
• Operational Compliance Officers
• CDD File Reviewer
• Investigative Officers
• Credit Control Analyst
• Procurement Officers
• Knowledge Managers
• Information Researchers
• Business Line Analysts/ Associates
• Cross Business Officers and
Managers
• Auditor Managers/ Officers
INTERNAL USE ONLY

33. Demo
INTERNAL USE ONLY

34. Appendix
INTERNAL USE ONLY

35. 35
AML KYC Analyst/ Officer Use Case
About AML/ KYC Duties
Tasks
Client Due Diligence (CDD)
-Undertake Enquiries
-Complete Records
-Escalate to MLRO/ MLCO where
needed
-Maintain Records for New Business
-Track name changes, transfers of
interest, changes in structure
-Evaluate AML risk
-Ensure CDD carried out in line with
AML regulations, Company
Guidelines, Policies
Reports
-Prepare CDD files in accurate and
timely manner
-Produce, review and remediate
AML reports for board
-Periodic review of CDD files
Research
-Keep up to date with AML
legislation, guidance, relevant
jurisdiction
Training
Assist with roll out of staff training
for AML/ CFT
Skills Needed
-Good communicator
-Good knowledge of IT systems
-Time Management and
Organisational skills
-Work under pressure
-Maintaining accuracy and Quality
Standards
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Duties
Assist with the continuing client
due diligence (CDD) procedures
both pre and post client/ investor
on boarding.
The Analyst is expected to be the
key advisor to the business, clients
and investors on AML matters
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

36. 36
Senior AML Analyst/ Officer Use Case
About AML/ KYC Duties
Duties
Undertake Anti-Money Laundering
monitoring across all relevant business
areas
Analysis of findings of AML monitoring
and production of reports for the MLRO
and Deputy MLRO
Tasks
-Reviews will include gap analysis and
training needs
-Identify areas of non compliance with
regulation, internal policy, business
procedure and practice -Recommend
policy change to the DMLRO
-Escalate outstanding issues not
completed within agreed timescales
Advise the business on all areas of day-
to-day AML policy and procedures
-Development and delivery of AML
initiatives and employee training
programmes
-Authorising account referrals made by
the business where the charity is
operational in high risk countries and
that have sanctions programmes in
force
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Tasks
-Consideration and submission of
Suspicious -Activity Reports
-Investigation of specified anti-money
laundering referrals made by business
areas;
-Authorising foreign payments and
foreign receipts where money is sent to
or received from high risk countries,
including countries with sanctions
-Authorising new accounts, account
changes, and payments where links to
PEPs have been identified
-Authorising referral of searches that
display alerts for PEP, Halo deceased,
enhanced country risk or sanctions lists
-Review, analyse and authorise
appropriate action where Screening
identifies any matches to PEP, HNWI,
Sanctions, Criminal Enforcement,
FBI/CIA lists for all products, accounts
and signatories
-Provide training for staff on use of
Screening and Management of Users on
the system – adding, amending, reset of
passwords
Skills Needed
Knowledge of: JMLSG; AML and terrorist
financing regulations and sources of
information to support investigations
Ability to conduct research in support of
AML Policy, Practice and in
consideration of transaction referrals
Ability to make decisions on behalf of
(D) MLRO where CEO and senior
managers require guidance
Ability to influence decisions
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

37. 37
Money Laundering Reporting Officer Use Case
About AML/ KYC Duties
Duties
The Money Laundering Reporting
Officer (MLRO) has the
responsibility to receive internal
disclosures of unusual activities,
decide whether such internal
disclosures should be reported to
the National Crime Authority (NCA)
as a Suspicious Activity Report
(SAR), and if appropriate report
such SARs.
Tasks
Client on-boarding
-Reviewing and authorising Private
and Corporate client accounts,
ensuring full KYC and Customer Due
Diligence is completed
-Understanding of FCA regulations,
suggesting process enhancements
while ensuring that all practices are
compliant with UK regulatory
requirements
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Tasks
-Develop and enhance AML and
Compliance manuals outlining all
policies and procedures
-Keep up to date with current AML
regulations and implement into the
company AML manual when
required
-Completing SAR reports for the
NCA and managing the SAR register
Develop Risk Management
framework
-Delivery of staff training in relation
to risk and compliance.
Regulatory engagement -
responding to enquiries from the
UK regulators (FCA/HMRC) and
banking counterparties
Skills Needed
-Good communicator
-Ability to work well under pressure
-Effectively and set priorities and
meet deadlines
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

38. 38
Deputy MLRO
About AML/ KYC Duties
Duties
Supporting MLRO with day-to-day
responsibilities
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Tasks
-Supporting the development and
delivery of fraud strategies
-handle incidents of fraud,
communicating effectively and
appropriately with customers,
victims of crime, law enforcement
and colleagues
-Report effectiveness of current
fraud strategy and identifying and
implementing efficiency
improvements
-Analysing data to identify and
predict the threat of fraud
-Gaining and utilising knowledge of
the market to influence fraud
detection strategies and identify
fraud trends
-Work with Legal Counsel to ensure
Data Protection/ Integrity/ Security
requirements are ingrained within
the business
-Work with Regulatory Counsel to
ensure adequacy of Systems &
Controls (FCA SYSC Handbook)
Skills Needed
Good communication
Strategic thinking
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

39. 39
CDD File Reviewer Use Case
About AML/ KYC Duties
Duties
Ensure that investor due
diligence has been collected to
the appropriate standard
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Tasks
Conduct Worldcheck and
background searches and
provide guidance to the KYC
team responsible for on
boarding new business
Skills Needed
solid CDD file review
knowledge.
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

40. 40
Compliance Officer Use Case
About AML/ KYC Duties
Duties
Support the implementation of an
annual compliance monitoring plan
to cover all aspects of the
company's PRA and FCA regulated
activities and Financial Crime
Tasks
-Provide practical technical
compliance advice to the Company
-Maintain a comprehensive
understanding of PRA and FCA
requirements and standards as they
affect the business.
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Tasks
-Support the business by assessing
the scope and potential impact of
regulatory change and where
necessary undertake or provide
consultancy services to the
resultant change programmes
-Establish effective internal
relationships to ensure that new
products and company initiatives
are considered in a compliant and
commercially sensitive manner.
-Provide an a sign off process for all
marketing material and other
documentation impacted by PRA
and FCA regulatory requirements.
-Produce a monthly reports to the
head of compliance on the
functions activities and any risks
identified.
-Review training
Skills Needed
-Strong attention to detail and be
highly organised.
-Ability to be able to work to
deadlines.
-Excellent verbal and written
communication skills
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

41. 41
Chief Compliance Officer Use Case
About AML/ KYC Duties Tasks
-Ensuring that all compliance manuals,
policies and documented
processes/procedures are kept up to
date
-Managing a rolling program of periodic
regulatory compliance audits of each
office
-Development of a proactive, risk-based
compliance monitoring programme,
including regular reviews of business
activities.
-Monitoring marketing activities and
any other high-risk activities
-Seeking to develop a good working
relationship with key contacts at the
FCA and dealing with any inquiries from
and inspections or audits undertaken by
any regulatory authorities from time to
time.
-Ensuring all regulatory filings in respect
of our investment businesses in EMEA
are made
-Overseeing delivery of training
-Ensuring compliance with all laws and
regulations applicable to businesses as
applicable
-Dealing with ad-hoc compliance and
regulatory queries from line of business
Skills Needed
-Excellent Communication
-Attention to detail
-Knowledge of the regulatory
environment
-Stakeholder management
Duties
Oversight and management of the
overall compliance framework for, and
delivery of compliance support.
Overseeing the effective and proactive
delivery of compliance support across
the full range of core compliance
functions and compliance related
matters.
Tasks
-Providing strategic advice to business
leaders
-Providing technical regulatory advice as
required in connection with the
regulatory aspects of specific
transactions, existing services and
proposed new services.
-Developing and monitoring the
adequacy and effectiveness of the
existing compliance arrangements in
place and ensuring that remedial action
is taken where any deficiencies are
identified
-Maintaining knowledge of the
regulatory framework in the UK EU
markets.
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

42. 42
Knowledge Manager
About AML/ KYC Duties Tasks
-Promote collaborative tools such
as activity rooms to facilitate
sharing of ideas and work among
internal teams and external
partners;
-Share experiences across
communities of practice, business
units, and networks on innovative
approaches in knowledge sharing,
including preparation of case
studies;
-Help monitor and evaluate the
knowledge sharing program,
including external benchmarking
and evaluation
programs/opportunities;
-Provide support for the
establishment and nurturing of
communities of practice, including
workshops, one-on-one guidance,
and troubleshooting;
Skills Needed
-Openness to new ideas
-Strong communication skills
- able to deal with colleagues of
different experience levels and
seniority
-keen and able to champion KM in
the organization
-Competent online, research and
analytical skills, including ability to
create metrics and measure impact
Duties
The main function of the
knowledge sharing position would
be to help champion organization-
wide knowledge sharing, so that
the organization s know-how,
information and experience is
shared inside and (as appropriate)
outside the organization with
clients, partners, and stakeholders
Tasks
-Promote knowledge sharing
through the organization's
operational business processes and
systems by strengthening links
between knowledge sharing and
the information systems, and
improving integration among
information systems in the
organization, to facilitate seamless
exchange of information across
systems
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Our Solutions
Delivery
-API via Direct Onboard
INTERNAL USE ONLY

43. 43
Audit Manager - AML
About AML/ KYC Duties Tasks
-Strong Audit skills and
experience, good knowledge of
key regulations and regulation
developments and changes.
-Liaising with Senior Internal
Stakeholders.
-The Auditor will participate in
AML audits and control
consulting engagements that
evaluate corporate
management, business
processes, business controls,
risk assessments and operating
practices.
Skills Needed
-Audit experience in practice or
internal audit, focusing on Financial
Services - especially with AML, BSA
and OFAC.
-ACA, ACCA, CPA, CIA, or CAMS
qualified.
-The willingness to develop core
competencies in risk based audit
methodology
Duties
The Auditor will be responsible
for working with a team of
professionals to assess the
effectiveness of controls
designed to ensure the
businesses are complying with
relevant Anti Money Laundering
(AML) requirements such as the
Banking Secrecy Act (BSA) and
Office of Foreign Assets Control
(OFAC) requirements.
Tasks
-Auditor would also audit areas
like Know Your Customer (KYC).
-Oversee AML Audits including;
establishing, monitoring risk
assessment and testing of areas
such as BSA/AML and OFAC.
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

44. 44
Head of Procurement, Financial Services
About AML/ KYC Duties Tasks
-Manage all IT contracts and
renewals in conjunction with IT &
Legal teams
Be responsible for all Procure to
Pay process for IT
-Deliver a strategy of cost savings
programme in line with office
targets
-Manage team to effectively carry
out all procurement activity
Co-ordinate the IT costs and
procurement processes to
collaborative effect with other
regional offices
-Provide support to stakeholders
and management team on savings
initiatives or operational
improvement programmes
-Define and implement best
practice of procurement standards
Skills Needed
-experience of the procurement
cycle
Knowledge of procurement best
practice and strategies
experience of business process
modelling and evaluating business
plans
A commercial mindset and
demonstrated ability in negotiation
Experience of developing,
reviewing and agreeing commercial
contracts for services, products and
consumable purchasing
Experience of managing contracts
throughout their life-cycle
Experience of influencing
stakeholders and decision makers
.
Duties
Create, develop and drive
purchasing strategies, negotiating
best terms, initiating supplier
development and partnership
optimization with all suppliers.
Tasks
-Manage IT procurement functions
across all IT categories including:
hardware, software, sub-
contractors, outsourced services
and telecommunications
-Take the lead role in high value
procurement projects, e.g. RFP
process
Deliver a quality procurement
service to the business by providing
the right IT category goods and
services for the best cost and terms
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

45. 45
Information Researchers - Legal
About AML/ KYC Duties Tasks
-Conducting local and international
legal and non-legal research
-Reviewing diverse sources of
information and helping to choose
the best sources for answering
research requests.
-Monitoring legal, business and
news sources for current
developments in practice areas, for
clients and industries.
-Providing training in print and
electronic resources and research
skills
-Maintaining familiarity with library
operational functions
-Interfacing with other law firms,
agencies, libraries and
organizations;
-Representing the firm in a
professional manner
Skills Needed
IT
Some Industry knowledge
Duties
Responsible for providing research
services involving legal, business,
and general information sources to
attorneys, paralegals and staff using
a variety of print and electronic
research sources
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Our Solutions
Delivery
-GUI via Onboard
INTERNAL USE ONLY

46. 46
Information Researchers – Financial Services
About AML/ KYC Duties
Tasks
-Conducting research for equities,
fixed income, loans, capital
markets, broking, trading and other
financial services departments
-Reviewing diverse sources of
information and helping to choose
the best sources for answering
research requests.
-Monitoring business and news
sources for current developments
in practice areas for industries.
-Providing training in print and
electronic resources and research
skills
Skills Needed
-IT
-Quickly learn how to use database
-Manage time
-Analytical
Duties
Provide stakeholders with data
using external, internet and
internal sources
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Our Solutions
Delivery
-GUI via Onboard
INTERNAL USE ONLY

47. 47
Analysts – Business Line
About AML/ KYC Duties
Tasks
-New client origination (including
identification, analysis,
communications/pitching, mandate
negotiation)
-Conducting research and preparing
reports on clients, potential clients,
peer groups/comparables,
industries/sectors, etc.
-Preparing marketing and diligence
materials including pitch books,
teasers, introductory emails,
presentations, information
memorandums, and data rooms
-Interacting with
investors/acquirers/partners on
client mandates, including
identification, communications and
negotiations
-Project management of the deal
execution process including
negotiations, documentation,
diligence, and managing 3rd party
advisors (lawyers, accountants, IPO
brokers, etc.)
Skills Needed
Analysis
Maths
Accounting
Sales
Marketing
Duties
Business line analysts are part of
multiple revenue and client facing
teams such as corporate finance,
loans, capital markets, treasury
bills, trading, broking, fixed income
teams, marketing
About AML/ KYC
Anti-money laundering (AML)
refers to a set of procedures, laws
or regulations designed to stop the
practice of generating income
through illegal actions.
In most cases, money launderers
hide their actions through a series
of steps that make it look like
money that came from illegal or
unethical sources was earned
legitimately.
Though AML laws cover only a
relatively limited number of
transactions and criminal
behaviors, their implications are
extremely far-reaching. For
example, AML regulations require
institutions issuing credit or
allowing customers open accounts
to complete due-diligence
procedures to ensure that these
institutions are not aiding in
money-laundering activities. The
onus to perform these procedures
is on the institutions, not on the
criminals or the government
Our Solutions
Delivery
-GUI via Onboard
-API via Direct Onboard
INTERNAL USE ONLY

48. 48
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