88 lines
1.8 KiB
Markdown
88 lines
1.8 KiB
Markdown
# Compliance Dashboards Specification
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## Overview
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Compliance dashboards for case management, SAR/STR workflows, and reporting.
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## Case Management
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### Case Schema
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```sql
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CREATE TABLE compliance_cases (
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id UUID PRIMARY KEY,
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case_type VARCHAR(50) NOT NULL, -- 'suspicious_activity', 'sanctions_match', etc.
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customer_id UUID,
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severity VARCHAR(20) NOT NULL, -- 'low', 'medium', 'high', 'critical'
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status VARCHAR(20) NOT NULL, -- 'open', 'under_review', 'resolved', 'escalated'
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assigned_to UUID, -- Compliance officer
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description TEXT,
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evidence JSONB,
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created_at TIMESTAMP DEFAULT NOW(),
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updated_at TIMESTAMP DEFAULT NOW(),
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resolved_at TIMESTAMP
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);
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```
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### Case Workflow
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1. Case created (automated or manual)
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2. Assigned to compliance officer
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3. Investigation
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4. Resolution or escalation
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5. Documentation and closure
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## SAR/STR Workflows
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### Suspicious Activity Reports (SAR)
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**Trigger Conditions**:
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- Unusual transaction patterns
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- High-value transactions
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- Sanctions/PEP matches
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- Manual flagging
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**Workflow**:
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1. Detect suspicious activity
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2. Create case
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3. Investigate
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4. File SAR if confirmed
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5. Monitor for follow-up
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### Suspicious Transaction Reports (STR)
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Similar to SAR, jurisdiction-specific
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## Evidence Export
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### Export Format
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**Package Contents**:
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- Case details
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- Transaction history
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- Customer information
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- Screening results
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- Investigation notes
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- Supporting documents
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**Format**: PDF report + supporting data files
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## Reporting APIs
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### Case Management API
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`GET /api/v1/compliance/cases`
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`POST /api/v1/compliance/cases`
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`GET /api/v1/compliance/cases/{id}`
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`PUT /api/v1/compliance/cases/{id}`
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### Reporting API
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`GET /api/v1/compliance/reports`
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`POST /api/v1/compliance/reports/generate`
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## References
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- Identity & Compliance: See `identity-compliance.md`
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