Risk, Compliance and AMLTransaction Monitoring and Alert Investigation
Monitoring systems generate far more alerts than any team can investigate properly, and the pressure to clear a queue is how genuine suspicion gets closed as routine. This course covers investigating well at volume. Delegates work through scenario and threshold design and what each rule is actually looking for, alert triage and the information to gather before forming a view, and the investigation itself: transaction patterns, counterparties and the customer's stated business. Writing a defensible rationale for closing or escalating is practised. Model tuning and testing follow, since a rule producing only false positives is worse than none. The course closes on quality assurance and on the regulator's view of a poorly run function.
Course objectives
- Explain what monitoring scenarios and thresholds are looking for
- Triage alerts and gather the right information before forming a view
- Investigate transaction patterns, counterparties and stated business
- Write a defensible rationale for closing or escalating an alert
- Tune and test scenarios to reduce unproductive alerts
- Run quality assurance over investigation output
- Recognise what a regulator looks for in this function
Who should attend
- Transaction monitoring analysts and investigators
- Compliance and financial crime staff
- Team leaders managing alert queues
- Internal auditors reviewing monitoring effectiveness
- Systems staff configuring monitoring rules
Course outline
- 01Clearing a queue against forming a view
- 02Scenario and threshold design
- 03Alert triage and information gathering
- 04Investigating transaction patterns
- 05Counterparties and stated business
- 06Writing a defensible rationale
- 07Model tuning and testing
- 08Quality assurance and regulatory expectations
Scheduled sessions
| Dates | Venue | Format | Price | Register |
|---|---|---|---|---|
| 9 to 11 December 2026 | Cape Town, South Africa | Classroom | R14,950 per delegate | Register Now |
| 21 to 23 December 2026 | Kampala, Uganda | Classroom | USD 995 per delegate | Register Now |
| 4 to 6 January 2027 | Online | Online | R6,500 per delegate | Register Now |
| 27 to 29 January 2027 | Durban, South Africa | Classroom | R14,950 per delegate | Register Now |
| 3 to 5 March 2027 | Pretoria, South Africa | Classroom | R14,950 per delegate | Register Now |