explorer-monorepo/docs/specs/banking/compliance-dashboards.md

Compliance Dashboards Specification

Overview

Compliance dashboards for case management, SAR/STR workflows, and reporting.

Case Management

Case Schema

CREATE TABLE compliance_cases (
    id UUID PRIMARY KEY,
    case_type VARCHAR(50) NOT NULL, -- 'suspicious_activity', 'sanctions_match', etc.
    customer_id UUID,
    severity VARCHAR(20) NOT NULL, -- 'low', 'medium', 'high', 'critical'
    status VARCHAR(20) NOT NULL, -- 'open', 'under_review', 'resolved', 'escalated'
    assigned_to UUID, -- Compliance officer
    description TEXT,
    evidence JSONB,
    created_at TIMESTAMP DEFAULT NOW(),
    updated_at TIMESTAMP DEFAULT NOW(),
    resolved_at TIMESTAMP
);

Case Workflow

1. Case created (automated or manual)
2. Assigned to compliance officer
3. Investigation
4. Resolution or escalation
5. Documentation and closure

SAR/STR Workflows

Suspicious Activity Reports (SAR)

Trigger Conditions:

• Unusual transaction patterns
• High-value transactions
• Sanctions/PEP matches
• Manual flagging

Workflow:

1. Detect suspicious activity
2. Create case
3. Investigate
4. File SAR if confirmed
5. Monitor for follow-up

Suspicious Transaction Reports (STR)

Similar to SAR, jurisdiction-specific

Evidence Export

Export Format

Package Contents:

• Case details
• Transaction history
• Customer information
• Screening results
• Investigation notes
• Supporting documents

Format: PDF report + supporting data files

Reporting APIs

Case Management API

GET /api/v1/compliance/cases POST /api/v1/compliance/cases GET /api/v1/compliance/cases/{id} PUT /api/v1/compliance/cases/{id}

Reporting API

GET /api/v1/compliance/reports POST /api/v1/compliance/reports/generate

References

• Identity & Compliance: See identity-compliance.md