Enterprise Risk Case Manager

Solution Overview
December 4, 2013

July 2014

Enterprise Risk Case Manager Solution Overview

Table of Contents
Executive Overview ................................................................................................................................ 4
The Enterprise Compliance and Risk Management Challenge ............................................................. 4
Actimize Enterprise Risk Case Manager ................................................................................................ 6
Why Actimize Enterprise Risk Case Manager? ........................................................................ 7
How Clients Use Actimize Enterprise Risk Case Manager ....................................................... 8
Actimize ERCM Capabilities and Key Features ..................................................................................... 9
Analyze Issues from Across the Enterprise .............................................................................. 9
Respond to Issues Quickly and Consistently .......................................................................... 11
Investigate with Best-in-Class Tools ....................................................................................... 12
Enable Proactive, Comprehensive Reporting and Oversight .................................................. 16
Scale and Adapt with an Enterprise Platform.......................................................................... 18
Conclusion ............................................................................................................................................ 20

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Legal Statement

This document contains proprietary information belonging to Actimize Ltd. Such information is
supplied solely for the purpose of assisting explicitly and properly authorized employees or
consultants to evaluate or use Actimize products. No part of its contents may be used for any other
purpose, disclosed to any person or firm or reproduced by any means, electronic or mechanical,
without the express prior written permission of Actimize Ltd. The text, graphics and examples
included herein are for the purpose of illustration and reference only. The specifications on which
they are based are subject to change without notice. No legal or accounting advice is provided
hereunder and any discussion of regulatory compliance is purely Illustrative. Information in this
document is subject to change without notice. Corporate and individual names and data used in
examples herein are fictitious unless otherwise noted. Actimize reserves the right to revise or
withdraw this document or any part thereof at any time. Copyright 2014 Actimize Ltd. All rights
reserved. Other company and brand products and service names are trademarks or registered
trademarks of their respective holders.

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Enterprise Risk Case Manager Solution Overview

Executive Overview
Financial services leaders across the globe are faced with daunting risk levels and compliance regulations.
What determines which organizations come out on top of these challenges? It is the internal, firm-wide
approach each takes to proactively address risk and compliance across the enterprise. Enterprise-wide risk
case management has emerged as the single biggest differentiator impacting loss prevention and regulatory
risk in todays financial institutions.
To be effective, enterprise risk case management must go beyond just collating information from existing
detection systems into a common presentation layer. It must also provide policy-driven workflow,
investigation tools, reporting, and dashboard capabilities. It must enable a firm to turn information into
actionable intelligence that empowers investigators and analysts. Solutions must be measured by their ability
to analyze, link, reprioritize, and make risk-related information actionable.
No company understands this requirement better than NICE Actimize. Over the past decade, Actimize case
management technology has been adopted by more than 250 financial institutions, insurance companies,
and brokerage houses across the globe. Many of the most recognizable names in the financial services
industry, from regional specialists to the world's largest financial institutions, rely on Actimize to mitigate
transactional risk. Recognizing the need for a robust enterprise case management solution specifically
designed for financial crime prevention (AML and fraud), compliance, and corporate security operations,
NICE Actimize leveraged insight garnered from its large, global client base to develop Actimize Enterprise
Risk Case Manager.
The Actimize solution supports the entire case management lifecycle, from input, response, and investigation
to oversight, reporting, and audit. It provides a central platform for holistic case management incorporating
alerting and risk detection systems, manual reporting/alerting, case creation, and incident tracking.

Enterprise case management is becoming

critical for overall firm risk management and
financial crime investigations.
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Enterprise Risk Case Manager Solution Overview

The Enterprise Compliance and Risk Management

Challenge
The landscape of financial crime, compliance, and corporate security is rapidly changing; the liabilities are
greater and effective risk mitigation is more challenging. Disparate, legacy systems and data silos limit both
investigations and access to critical, related information increasing overall risk and maintenance and
support costs, especially in large, complex, and global organizations. To effectively evaluate risks and
investigate alerts, cases, and issues, financial institutions require a holistic, enterprise-wide view of risk
across multinational operations and interaction channels.
These challenges are especially prevalent in human resource-intensive investigations. Whether conducting
internal investigations, collecting evidence, or submitting regularly filings on suspicious incidents,
investigators need to fully and clearly document event details and connect-the-dots to other investigations to
prevent future incidents and optimize recoveries. Access to tools designed to support these needs is
invaluable in enabling firms to effectively focus investigators on their core competencies.
Questions are being raised about the continued silo approach to compliance, financial crime management,
and corporate security operations. Risks increasingly span these areas and costs associated with redundant
investigations are becoming unacceptably high. In response to cost and resource constraints, leading firms
and analysts are moving toward a holistic approach to case management. They recognize that a complete
understanding of criminal activity or regulatory violations is best developed by combining and investigating
multiple risk factors, across systems and lines of business. While the logic of this strategy is clear, the path
toward a real-world solution has not been.
The challenge many firms face is that they have already deployed departmental alerting and generic case
management systems, which often lack the flexibility to mitigate risks and perform tasks specific to
compliance, corporate security, or financial crime. The complexity and disparity of these systems presents a
challenge to firms attempting to correlate this information for management or regulatory reporting. As a
result, investigators and compliance managers might wait days for IT to provide only a static report of the
necessary alert information. Sometimes, the request cannot even be fulfilled. Centralizing the regulatory
reporting process improves efficiency and ensures consistency and proper routing, especially in the case of
updates, amendments, and confirmations.
To improve detection capabilities and control operational costs, an enterprise case management solution
must be risk-focused and able to efficiently aggregate and relate all cases and alerts in one place, even if the
information continues to reside in disparate systems. Firms require the ability to pinpoint suspicious or noncompliant activities across all segments; they must also be able to pull relevant data like addresses and
names common to multiple accounts. Institutions need intuitive reporting tools and access to aggregated
investigative information, without constant requests to IT for help.
Compliance, corporate security, and financial crime managers require a solution that not only delivers the
requisite investigative capabilities, but does so with high flexibility and scalability and minimal risk. At the
same time, an effective solution must offer a predictable, low-risk implementation and a low total cost of
ownership. This requires out-of-the-box capabilities that can be delivered quickly and easily, along with a
flexible platform that can address evolving risk management processes for financial crime, regulatory
compliance, and other operational risks.

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Actimize Enterprise Risk Case Manager

For years, Actimize has delivered software solutions to prevent financial crime, mitigate risk, and improve
compliance for financial institutions, insurance companies, and brokerage houses. Leveraging case
management expertise from more than 250 deployments at mid-sized and top-tier companies around the
globe, Actimize Enterprise Risk Case Manager (ERCM) is specifically designed to satisfy the need for a
robust solution for financial crimes, corporate security, and compliance operations.

Complete enterprise risk investigation solution

Actimize Enterprise Risk Case Manager delivers a true enterprise solution with comprehensive analytics and
the ability to leverage existing, disparate detection systems and data sources. Cases and alerts are
aggregated from across all sources, including manual entries, third-party AML and fraud detection and
alerting systems, legacy and homegrown systems, and databases. Smart linking automatically pulls
together, relates, and prioritizes relevant alerts to find hidden connections. Visual Link Analysis (VLA)
interactively analyzes network activity across the enterprise and provides a graphical representation of
transactional activity and related entities.
Collaborative investigation tools support end-to-end case management processes. For example, Actimizes
Detection and Research Tool (DART) leverages the solutions collaboration and documentary features to
enable self-service investigations. DART, which is an add-on to ERCM, goes beyond basic aggregation and
reporting to dramatically improve productivity and accuracy; it allows business users to conduct complex,
data-driven investigations without help from IT by providing them with a tool to instantly query relevant data.
Actimize also minimizes IT dependence by providing users with a highly configurable, intuitive environment.
The solution includes easy-to-use visual design tools that empower users to independently develop new
forms, workflows, reports, dashboards, regulatory templates and more, to keep pace with changing
organizational requirements and industry regulations.
Given the complexity of financial service providers, especially with the amount of consolidation, mergers, and
acquisitions in the financial services industry over the last few years, Actimize ERCM allows integration and
operation across business structures whether the business takes a federated approach or is structurally
aligned to enterprise financial crime, compliance, and corporate security operations

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Why Actimize Enterprise Risk Case Manager?

Permanently reduce IT and operational costs
Drive down costs by as much as 40% with lower implementation expenditures, consolidation of resources,
and self-development capabilities. Leverage existing investments in case management, alerting, and
detection systems with comprehensive integration capabilities. Reduce time and costs for configuration,
maintenance, and upgrades with standard tools supporting customized reports, dashboards, and common
business applications.
Improve efficiency and risk management
Reduce duplicate investigations, losses, and regulatory fines by consolidating multiple operations and
systems into a single application and identifying unique, hard-to-find detection patterns that may otherwise
go unnoticed. Enable effective distribution and allocation of workload with guided workflows, automatic
prioritization of alerts and cases, and comprehensive reporting and oversight for productivity and quality
monitoring.
Enhance the investigation process
Conduct in-depth research and expose high-risk activities using intuitive investigation tools and capabilities.
Identify risky entities across structured and unstructured data by searching across attachments, work item
details, entity details, and forms. Graphically navigate through and drill-down into high-risk networks of
customers, accounts, suspects, and alerts with visual link analysis functionality.
Adapt to evolving business and regulatory needs
Empower administrators to independently develop new forms, workflows, reports, dashboards, and more
with intuitive visual design tools. Quickly adapt to changing business needs and evolving regulatory
requirements without dependence on IT with a flexible, scalable enterprise solution.

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How Clients Use Actimize Enterprise Risk Case Manager

Actimize ERCM provides financial crimes, compliance, and corporate security departments, of varying
complexity, scope, and organizational structure, with an enterprise tool for unified investigations, reporting,
and risk assessment across lines of business and regional groups.
Financial Crime
For anti-money laundering, fraud, and financial crimes investigation units, Actimize ERCM provides:
Consolidation of account level AML alerts from legacy systems for review at the customer
level, reducing operational workload and streamlining investigations
Single regulatory SAR/STR reporting platform for all AML and fraud cases, ensuring a
consistent approach to SAR/STR disclosures and providing the framework for inter-business
data sharing
Global case management for high-risk cases to ensure that customers appearing on do-notdo-business lists in one jurisdiction are not on-boarded in another
Compliance
Tailored to the specific needs of brokerage, securities, and energy compliance, Actimize ERCM
ensures:
Compulsory oversight of employees, desks, and products to identify trends and escalate
high-risk issues for timely, proactive resolution - lowering risk and improving productivity
Increased control over compliance investigations - combining disparate systems and data
into a single solution, ensuring consistent processing and reporting and providing better
monitoring and data mining with a centralized investigation database
Holistic view across business units to identify policy variance, risk variance, and emerging
risks and measure operational workloads and alert trends
Corporate Security
Designed for the unique and diverse requirements of corporate security, internal investigation, and
employee monitoring, Actimize ERCM provides:
Configurable, guided workflows for special investigation types, including physical security,
data breach and theft, and whistleblower incidents, ensuring consistent processes
Centralized, automated risk monitoring and Visual Link Analysis, consolidating data from
across the organization to connect-the-dots across information silos and expose anomalous
behavior and high-risk networks
Comprehensive process management and oversight for security functions such as branch
inspections, loss tracking, employee screening requests, and regulatory filings involving
employees

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Actimize ERCM Capabilities and Key Features

The Actimize Enterprise Risk Case Manager (ERCM) capabilities and features, including the investigative
and implementation tools, are unique in the industry and have been developed in response to extensive user
feedback.

Functional capabilities of Enterprise Risk Case Manager

Analyze Issues from Across the Enterprise

The effectiveness of an enterprise risk case management solution hinges on how well it leverages alert and
detection systems. The Actimize solution is uniquely suited for this requirement with the capabilities detailed
below.
Alert Ingestion and Data Enrichment
The solution ingests and enhances alerts generated from any internal or external system, providing
businesses with a holistic, accurate snapshot of all available data and improving risk-based
prioritization while reducing investigative workload. Unlike other solutions that require extensive
manual effort or data translation, the Actimize solution uses data adaptors to automatically capture
and ingest data, details, and important alert information in real time and batch. Adaptors include
support for mainframe-based systems, relational databases, message queues, flat files, and more.
These adapters and ingestion features speed implementation, so firms get a faster return on
investment.
Once a work item is generated, the solution correlates activities, entities, and reference data across
disparate detection systems and databases. This information is combined to enrich the alert or work
item, providing a more complete picture of the activity, incident, or suspicious entity.
Manual Work Items
With pre-configured forms, users can manually create work items such as alerts, potential fraud
incidents, and employee tips. Forms enforce and validate data entry, ensuring accurate and
consistent results during investigations. Even though these work items are defined manually, they
still leverage the solutions workflow functionality. In fact, manual items can be linked to ingested
alerts, as well as cases and entities, such as accounts or employees. This saves analysts and
investigators significant time, as they avoid interfacing with different systems to document a case.

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Configurable data entry forms guide analysts during manual incident creation
Automated Smart Linking and Entity Management
With ingestion, firms gain a holistic, accurate snapshot of information from alert messaging systems,
data marts, warehouses, and other systems. Using advanced analytics, link analysis, and entity
management, previously unrelated alerts are linked together based on common entity information,
such as account ID, customer name, or credit card number. Actimize customers use the results to
detect patterns that would otherwise go unnoticed. This consolidation of linked alerts reduces
workload and enables more efficient review of issues, helping firms to prevent losses and avoid
regulatory fines.
Work Item Consolidation
The solution analyzes incoming work items to identify key data elements, such as customers,
accounts, employees, and products, and then uses consolidation and risk scoring rules to produce
fewer, higher quality consolidated alerts, while simultaneously eliminating inconsistent investigations.
Consolidated alerts properly prioritize and reduce investigation efforts; they also help reduce the
risks associated with suppressed or auto-closed alerts.
For example, a suspected $500 empty envelope ATM deposit, if viewed in isolation, would have a
low risk score. But what if within a short period of time, that same customer adds a new bill payee,
resulting in an online channel alert with a medium risk score? The Actimize solution would generate
a consolidated alert based on these two combined events with a higher "reprioritized" risk score.
Investigators would have visibility to the total risk and can act quickly to prevent the missing $500
from being transferred from the bank account to the "new payee".
Risk-based Prioritization and Score Normalization
The solution normalizes alert scores across the various scoring mechanisms for the multiple alert
types ingested. Whether the source system uses a descriptive risk rating, a numeric one, or none at
all, normalization enables investigators to get a common measure of risk. With common risk metrics
defined for the firm, events can be effectively re-prioritized within the enterprise context.

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Respond to Issues Quickly and Consistently

Actimize ERCM provides a systematic process for routing, responding, and resolving issues, based on the
type of incident.
Automatic Routing & Triage
As the system pulls together many different types of alerts and manually generated work items,
investigators are often tasked with triaging these items - closing out some quickly while referring
others for additional investigative case work. The Actimize solution can automate rule-based triage
tasks, such as routing alerts to specific analysts based on alert type, score, or other criteria, reducing
the need for unnecessary manual intervention. The solution also consolidates multiple investigative
items into one case for resolution and external regulatory reporting.
Business rules define how alerts and cases are routed based on their priority, the profile of the
users, and user availability. For example, a high-risk alert will be routed to a senior investigator,
however, if no senior investigators are available at that point in time to address a new alert, the
system will route the alert to a manager, ensuring the high-risk alert receives a prompt response.
Comprehensive Workflow Management
A critical requirement of any enterprise solution is that it support instiution (and appropriate
regulatory) policies on handling certain information and events. Actimize offers a robust workflow
management capability to support this requirement, ensuring adherence to the rules configured for
each type of investigative and review process.
Built-in auditing of every activity, including work items, administrator activity, timestamps, source IP,
and more, ensures that record keeping is an integrated part of managing risk. Workflows include
coverage for suspicious activity management, information sharing requests, incident reports, and
fraud claims. Functionality for archiving and exporting of data to support data retention policies is
also included.
Role-based investigative actions Users are provided the capabilities they need to fully review,
document, and resolve an investigation or analysis effort. They can collaborate by sharing online
access, managing assignments, and by taking work offline to share via email or printout with
colleagues who may not have system access.
Deadlines,reminders, and automatic escalation Support for time-based workflow policies is critical
to meet regulatory and corporate objectives. For any step in a process, deadlines can be set to
indicate when required actions must be completed. Reminders enable the system to prompt the
users about a deadline and automatically escalate past due work items for immediate response.
Checklist tasks Firms can define optional and mandatory tasks that must be performed before
progressing to the next step in their investigation or review. Tasks can be anything, from recording
an initial finding to performing research against the recent transactions in an account. Users must
attest to completing mandatory tasks; optional tasks can serve as best practice guidelines.
Restricted actions As an investigation progresses, there may be different rules as to what a user is
allowed to do at each step, overriding their usual role-based privileges. These include such
restrictions as controlling when the user is allowed to supply additional documentation or even
forward ownership to another user.

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Investigate with Best-in-Class Tools

Actimize Enterprise Risk Case Manager (ERCM) provides a complete framework for conducting
investigations. Key supporting capabilities include case development, visual link analysis and network
discovery, specialized evidence collection, and ad-hoc and self-service investigations. These interactive
investigation tools enable efficient and collaborative investigations, allowing analysts and investigators to
uncover answers, discover new questions, and get more accurate results in minutes, not days.
Case Development
Actimize ERCM provides users the ability to combine multiple work items into a single case based
on the entity, work item type, or other criteria. In addition, the solution supports attaching electronic
files, such as documents, pictures, audio files and videos, as well as links, to a case.
Visual Link Analysis
While certain compliance and risk-based investigation cases can be closed with limited data many
more investigations benefit from visual link analysis capabilities to view and discover networks of
associates, events, and historical cases.
The Visual Link Analysis tool allows investigators to graphically navigate through high-risk networks
of customers, accounts, suspects, and alerts to discover previously unknown instances of risk. This
simplifies the investigation process and improves operational efficiency by generating consolidated,
aggregated scores, alerts, and link entities, further mitigating risk and reducing regulatory exposure.

Network discovery and exploration with Visual Link Analysis

Relationship investigations Discover entities, cases, transactions, and investigative work items that
are related to a particular investigation. Refocus on a specific suspect and expand the network view
to see even more relationships and possible associates involved in a crime.

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Loss Tracking and Recovery Management

Tracking value at risk and financial losses is critical to effectively managing financial crime
investigations. The solution can be configured to suppors tracking financial losses and risk on an
event basis. As investigators build cases, consolidating multiple alerts and incidents, financial data is
automatically aggregated and populated to appropriate fields in necessary forms.
Recovery process management Cases enable investigators to view consolidated financials and
prevented losses, and then enter recoveries, fees, and other adjustments. Financial data can be
allocated and directly fed to the firms general ledger.
Loss and recovery reporting The loss and recovery dashboard supports the key financial metrics
and operational requirements of corporate security, fraud, loss recovery, and risk groups.

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Enterprise Risk Case Manager Solution Overview

Detection and Research Tool (DART)

As an optional add-on, Actimize offers the Detection and Research Tool (DART), which can
dramatically improve investigator productivity and efficacy.
Ad-hoc analysis of large volumes of transactional and reference data ensures accurate results and
rapid response to time-sensitive investigations. All investigative information is stored in a central
repository, allowing analysts to search, cross-reference, and discover relationships between multiple
entities using investigative link analysis. Documentary evidence, notes, and investigations can be
shared with just the click of a button for efficient collaboration across the enterprise.

DART enables self-service investigations

Self-service investigations - DART users follow their instincts, ask questions, and get immediate
answers through an easy-to-use, Web-based interface. With role-based data access to many of the
most popular enterprise data sources, a plain-language query builder, and innovative features like
query by example, DART frees investigators from IT dependencies.
Collaboration - While DART users typically work in a private workspace, they have multiple means of
collaborating with other investigators. These include publishing useful query definitions, saving
results as an investigative work item, and exporting results for offline collaboration. Results saved as
a work item enable other users to collectively review, document status, and annotate cases with
supporting files and notes. Investigations can be assigned or escalated based on these saved
results. Results are automatically tied to workflow policies and procedures.
Query scheduling - DART users can author queries and schedule them to run once or periodically,
as needed. Scheduling turns a single event into an ongoing investigation activity; as results become
available, they are pushed out to the user. As with manually saved results, scheduled results enable
full workflow management.
Enterprise DART to provide additional value DART can be exposed to other data sources within
the organization.

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User Collaboration
During the investigation workflow process, analysts often need to collect information from parties
who are not ERCM users and document the data collected as well as the correpsondance as part of
the alert record. The External RFI feature enables this by allowing users to send emails with
attached content for colleagues outside ERCM. The response email from the contributor can be
incorporated into the case as well as saved as an attachment.
In addition, using workflow integration, the solution has the ability to automatically progress the
workflow to the next step when a response arrives and, conversely, the ability to pause deadline
counting while waiting on a response from the external RFI. All actions and correspondance are
logged in the solutions audit trail.

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Enable Proactive, Comprehensive Reporting and Oversight

The Actimize solution provides tools to proactively monitor for and address risks and compliance violations at
all levels of a financial services organization. From automated regulatory filing and loss management to
productivity and quality reporting and oversight, Actimize Enterprise Risk Case Manager enables clients to
gain a high-level view of key information, gather and act on intelligence, and effectively oversee and manage
compliance and risk exposures.
Regulatory Filing
Financial Institutions are challenged to accurately file regulatory reports in a timely manner. Global
Suspicious Activity Report (SAR) filings are growing year over year, causing banks, securities firms, money
service bureaus and others organizations to invest a significant amount of resources on these filings.
Actimize Enterprise Risk Case Manager supports the entire process for US FinCEN SAR filing from
incorporating alerting and risk detection systems, manual reporting/alerting, case creation, incident tracking
and acknowledgement. It provides a central platform for automated, accurate and timely regulatory filing
which enables organizations to reduce compliance risk while increasing productivity.
In addition, the solution provides infrastructure components that allows for automated SAR and Regulatory
filing in any jurisdiction. These components combined with Actimizes extensive global experience in
delivering automated SAR solutions ensure financial institutions comply with global regulatory reporting
regulations.

Automated data population and validation of a Suspicious Activity Report (SAR)

A configurable regulatory filing dashboard helps managers provide continuous oversight of both process and
filing statistics.

Monitor Alert to Case to Filing conversions

Track reports filed, approved, and rejected
Monitor conversion rates of alerts to cases to regulatory filings
Ensure timely regulatory filing with automated deadlines & reminders

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Settlement and Reconciliation

The solution can be configured to reconcile investigation results with other systems of records. For
instance, actual fraud losses can be communicated to a firms general ledger for accurate record
keeping with limited human intervention.
Audit Reporting
As part of the core solution platform, every action a user takes within the solution, including work
items, administrator activity, timestamps, source IP, and more is recorded in a non-editable audit log,
ensuring that record keeping is an integrated part of managing enterprise-wide risk. This readily
accessible information serves as a complete audit trail that firms can use to quickly respond to blue
sheets and other inquiries, reducing the likelihood that regulators will increase the scope of their
review while waiting for answers to initial exploratory questions. Managers can easily audit
investigator productivity and validate that appropriate due diligence has been performed.
Interactive Dashboards
The solution includes an Operations Dashboard and the ability to configure a wide range of other
business specific dashboards to support different user communities. A full complement of
configurable elements is available to display workflow or trend-based data in tables, charts, graphs,
or maps. For example, a mid-sized retail bank can arm its head of AML with a dashboard that
focuses on daily, weekly, and monthly alert trends, alert status by owner or type, and score
distribution by alert type. These dashboards are not just a static snapshot of a firms risk and
compliance exposure; they are interactive. Users simply click on a chart to automatically link to other
dashboards or directly to the underlying work items.

Sample Incident Dashboard tracks risk across the organization

Dashboards enable effective management of daily tasks and key risk metrics by providing
information related to workflow reminders, open work items, trends, and aging statistics in a single
location. In another example, the dashboard used by the head of fraud management highlights
aggregate work item status, important false positive reduction statistics, and projected loss and
recovery data. With one glance, the manager can quickly gauge the overall status of his current risk.
Management Reports
To complement interactive dashboards, template-based reports are available for collecting
information on demand in high quality presentation format. These management reports are suitable
for printing and sharing with senior management who may not have time to access the solution.
Standard management reports are provided out-of-the-box to answer many common operational and
productivity questions. In addition, managers can create business-specific dashboards and reports
with an easy-to-use design tool and conduct workflow and trend-based analysis of activity to better
allocate resources and reduce operational expense.

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Scale and Adapt with an Enterprise Platform

At the heart of Actimize Enterprise Risk Case Manager is a core software platform designed to fit into any
enterprise environment. The platform is enterprise ready, providing robust designer tools and configuration
management capabilities, and built with the expectation that it must fit in with other enterprise applications
and standards. Further, it can be extended to support the unique and evolving challenges faced by firms.

Designer Tools
While the vast majority of users will access the application solely via a Web browser, a smaller
community of implementers and administrators may take advantage of multiple, built-in, design tools
to configure their solution. Some of these tools are described below.
RCM Designer the RCM designer enables users to configure and maintain; Manual Incident forms,
Alert type, Case type, Dashboard and Entity relationship definitions as well as the Network type
definitions for Visual Link Analysis.
Forms designer A graphical forms design tool is available to create manual work-items or incident
forms via a data entry screen. Implementers can define data validation rules, source data for picklists, screen layout, and navigation.
Dashboard designer Dashboards are comprised of multiple layers of reusable objects. The main
components of a dashboard are data access definitions, presentation widgets (i.e., pie charts), and
page layout and linking. Each of these objects are designed and connected into completed
dashboards using the RCM Designer.
DART designer Before users can access their DART data sources, it is necessary for an
implementer to define the connection, the end-users interaction, and the features available, such as
saving results. This configuration layer enables implementers to ensure users have all the
capabilities they need while maintaining appropriate IT controls on the environment.
Workflow designer Based on the firm requirements, implementers can define activity-based
workflow patterns, complete with transition rules, deadline requirements, and task list definitions.

Workflow designer enables users to quickly and easily define new workflows
Configuration management When an enterprise application is deployed, most organizations do not
allow configuration changes to be put directly into a production environment. Configuration
management tools that allow the export of configuration packages enable a high quality promotion of
these changes from one environment to another. Command line utilities automate the publication of
these tested configuration changes into a production environment without any manual intervention.

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Extensibility and Integration

Actimize ERCM has been built to support full integration with existing systems and processes and is
based on a Service Oriented Architecture. The following application programming interfaces are
provided;
Web Services Manage everything from work items in the system to performing administrative
tasks. These services enable other systems to read and update ERCM.
Database Views A comprehensive set serves as the preferred method of query-based integration
enabling external reporting access to the ERCM repository.
Java Plug-in SDK - An extensible layer provided to support organizations with unique business
requirements that are not already met by the solution or to extend the out of the box functionality.
The plug-in framework enables firms to add unique functionality and screens into the application
while leveraging a set of common navigation, administrative, and workflow services.

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Conclusion
Actimize Enterprise Risk Case Manager is widely adopted by financial services providers across the globe.
The solution enables a firm-wide approach to proactively address risk and compliance across the enterprise,
providing a central platform for holistic case and alert management to meet the needs of securities
compliance, financial crime, and corporate security organizations at regional and global institutions. Actimize
Enterprise Risk Case Manager consolidates information from existing detection systems into a single, userfriendly application for managing alerts, case development, investigations, regulatory reporting (i.e. SAR),
loss management, oversight, and more. With technology proven at the enterprise level, the solution enables
clients to improve risk and compliance operations, permanently reduce IT and operational costs, and adapt
to evolving business and regulatory needs.

About NICE Actimize

NICE Actimize is the largest and broadest provider of financial crime, risk and compliance solutions for regional and
global financial institutions, as well as government regulators. Consistently ranked as number one in the space, NICE
Actimize experts apply innovative technology to protect institutions and safeguard consumers and investors assets by
identifying financial crime, preventing fraud and providing regulatory compliance. The company provides real-time,
cross-channel fraud prevention, anti-money laundering detection, and trading surveillance solutions that address such
concerns as payment fraud, cybercrime, sanctions monitoring, market abuse, customer due diligence and insider
trading.

NICEACTIMIZE.COM

INFO@NICEACTIMIZE.COM

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