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Complete AML Technology Support

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AML Compass Technology Platforms™

Optima’s AML Compass Platform combines cutting-edge technology and proven processes and protocols to facilitate comprehensive compliance with primary and secondary AML/BSA regulatory requirements.   The AML Compass is an automated transaction monitoring, analysis and reporting solutions that creates a dashboard for AML/BSA compliance for banks and non-bank financial institutions.  Banks, MSBs, Registered Investment Advisors (RIAs), broker dealers, insurance companies, credit unions use the AML Compass as the backbone for their compliance program.

 AML System Components – The Optima Approach

AML Compliance Systems Components Functions:

Operations Management
  • Division governance
  • Training mgmt.
  • Doc Mgmt./Retention
Transaction Monitoring
  • Alerts & Rules
  • Tracking
  • Investigations
  • Exceptions mgmt.
  • Internal reporting
  • Regulatory reporting
CIP / KYC SANCTION LISTS
Profiles Management:

  • Amounts
  • Jurisdictions
  • Transaction roles
  • OFAC / Others
  • Internal whitelists
  • Internal blacklists
Regulatory Management
  • License mgmt.
  • Jurisdiction reporting
  • Regulatory changes monitoring
  • Regulatory Examination prep
  • Agent Mgmt.
Document Retention & Case Management
  • Document request, receipt and storage management
  • GLB compliant information protocols
  • Auditable transaction trails

Right Size AML Technology Solutions


Optima’s Reg Compass is a comprehensive suite of regulatory, non-AML compliance for the MSB industry.  Through Optima’s Reg Compass you can uniformly and seamlessly create, customize and file non-AML financial, periodic and event report with each state that regulates your MSB activities…

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