Geographic risk 01Customer risk 02Product risk 03
Client risk assessment
Understand geographic, customer and product risk through a documented model with transparent factors and overrides.
Explore assessments ↗FROM ASSESSMENT TO APPROVALSee how the workflow fits together
AML onboarding software
Clarity at every
compliance decision.
Bring client risk assessment, screening review and approval records into one focused workspace. Built around the decisions specialist financial services teams make every day.
For compliance, operations and investment teams.
PRODUCT DEMONSTRATION
Completed with Bangkok Bank.
A demonstration does not imply endorsement.
Northmere Holdings Ltd
Review complete
Overview
Risk assessment
Screening
Audit trail
The decision, documented.
Client record
✓
Risk assessment
Basis recorded
✓
Sanctions & PEP screening
Dispositions recorded
✓
Compliance review
Rationale retained
✓
Authorised sign-off
Approver recorded
JR
J. Reed · MLROApproval recorded in audit trail
Assessment PDF ↗
Illustrative workflow · fictional client and reviewer
Built for specialist
financial services firms Boutique private equity Asset management Private credit Wealth management
financial services firms Boutique private equity Asset management Private credit Wealth management
The working view
Your team’s work queue
A client portal brings onboarding, screening remediation and approval work into view. Analysts can find the next action; reviewers can see the decisions waiting for them.
Explore the client portal ↗ComplyBase / Client portalIllustrative interface
YOUR WORKSPACE
Example portfolioA clear view of the work.
8Assessments
3In review
4Approved
1Draft
| Counterparty / project | Next step | Status |
|---|---|---|
| Northmere HoldingsProject Northmere | Resolve PEP match | Review |
| Example Credit PartnersProject Cedar | MLRO decision | Sign-off |
| Example Asset ManagementProject Elm | View assessment | Approved |
Selected records shown Assessment history · Screening register · Audit trail
Illustrative interface · fictional data
Purpose-built compliance software
Control the review. Keep the evidence.
Bring a consistent process to each onboarding decision, from client risk assessment to screening disposition and authorised sign-off.
Potential match ReviewAnalyst rationale RecordDisposition Retain
Sanctions & PEP screening
Review potential matches, capture the analyst’s rationale and maintain a screening register organised around the work.
Explore screening ↗Assessment basis RecordedAuthorised approval RetainedAssessment report PDF
Governance & records
Keep the assessment, decision history and approval record accessible. Export reports for colleagues and reviewers.
Explore governance ↗A connected process
From client context
to a considered decision.
Give each stage a clear purpose. Keep the inputs, review and recorded outcome together.
Walk through the workflow- 01 / ASSESS
Understand the relationship
Capture client, ownership and jurisdiction context to inform the risk assessment.
- 02 / REVIEW
Resolve the screening
Review potential matches and document the evidence behind each disposition.
- 03 / DECIDE
Record the judgement
Bring the assessment to the appropriate reviewer for a recorded decision.
- 04 / RETAIN
Keep the supporting record
Access the assessment and export a report for colleagues and reviewers.
Designed for your operating model
Specialist firms. Institutional expectations.
For boutique private equity, asset management, private credit and wealth teams managing complex relationships with focused resources.
01
Private equity
Keep counterparties, controlling parties and deal context connected.
Explore your workflow 02Asset & fund managers
Give analysts and reviewers a common assessment basis.
Explore your workflow 03Private credit
Document borrower and controlling-party AML risk reviews.
Explore your workflow 04Wealth management
Bring client context and screening rationale into the review.
Explore your workflowBuilt around the review
A risk score starts the conversation.
The reasoning supports the decision.
For specialist firms, a useful assessment connects the client relationship, the screening review and the judgement of the people responsible.
How does ComplyBase explain a risk rating?
The assessment brings together geographic, customer and business-activity factors, with the rating rationale alongside the result. Review the methodology, applicable floors and overrides as part of your evaluation. Explore the assessment model.
How does screening fit your firm’s process?
Review potential sanctions and PEP matches alongside the client relationship and record the reasoning behind each disposition. Provider coverage and access depend on the agreed service and licence. Ongoing monitoring applies only to records where it is selected; it is separate from an initial screening. Explore screening workflows.
What should your team see in a demonstration?
Bring a fictional example of your onboarding process. Walk through the assessment inputs, a potential screening match, reviewer hand-off and an exported report. Use the session to confirm the workflow, responsibilities and evidence your firm needs. Arrange a product demonstration.
Explore ComplyBase
Look closer before you decide.
Explore the methodology, the workflow and the control context behind the product.
PLATFORM GUIDE
Understand the assessment model
How client inputs, risk factors and rating rationale come together.
Explore risk assessment →WORKFLOW GUIDEFollow a client through review
See the steps from onboarding context to a recorded approval.
Explore the workflow →REGULATORY CONTEXTConnect the process to the controls
Explore the regulatory context and published enforcement examples.
Read the control context →See ComplyBase in practice
Bring your workflow.
See where ComplyBase fits.
A focused conversation about your onboarding process, the decisions you make and the records you need.