Understand user roles and the AML workflow before working with real customer files.
ComplySwiss brings customer onboarding, KYC evidence, risk assessment, PEP and sanctions screening, UBO checks, Source of Funds and Source of Wealth, periodic reviews, transaction monitoring, alerts, investigations and audit evidence into one workflow.
The goal is not to replace compliance judgement. It is to make the work structured, traceable and easier to evidence.
Your role determines which actions you may take. The Team page shows the role assigned to each member; the role name also appears next to your name in the top bar.
Firm accounts work within their linked mandates; company accounts work within their own organization. Access depends on both your role and that scope.
The practice exercise below needs a role with data-entry permissions. Auditors and trainees can read along while an authorized colleague performs the steps.
Can: Manage the firm's team, settings and linked organizations; perform the full AML workflow within accessible mandates, including rules, alerts and cases.
Cannot: Review platform firm applications or manage unrelated firms and organizations.
Can: Manage the company's team, organization settings and full AML workflow for its own organization.
Cannot: Administer another company or use platform-only application and firm management.
Can: Create customers and transactions, manage rules and onboarding links, review or resolve alerts, manage cases and override risk with a reason.
Cannot: Manage the team, organizations or firm settings.
Can: Create customers and transactions, report alerts and add notes to cases; view permitted records.
Cannot: Resolve alerts, manage or close cases, change rules or risk ratings, or manage team and settings.
Can: Review records available in the assigned organization or firm scope for oversight.
Cannot: Create or change customers, transactions, alerts, cases, rules or team settings.
Can: Study records available in the assigned organization or firm scope for training.
Cannot: Create or change customers, transactions, alerts, cases, rules or team settings.
| Step | What you do | Where in ComplySwiss |
|---|---|---|
| 1. Onboard | Create the customer and capture core information. | Customers |
| 2. Complete KYC | Record identity, residence and activity profile. | AML Dossier |
| 3. Assess risk | Review risk factors and document judgement. | AML Dossier / Risk |
| 4. Screen | Run PEP and sanctions screening. | Screening |
| 5. Check UBOs | For companies, capture and screen beneficial owners. | UBO / Control Persons |
| 6. Evidence SoF/SoW | Record declarations and verified supporting evidence. | SoF / SoW Evidence |
| 7. Review periodically | Refresh KYC, risk and screening. | Periodic Review |
| 8. Monitor activity | Log transactions and evaluate them against AML rules. | Transactions / Rules |
| 9. Investigate | Review alerts and open cases where needed. | Alerts / Cases |
| 10. Evidence | Generate auditable evidence packages. | SRO Audit Export |
Use a fictional customer for training and work through this order.
KYC is the documented understanding of who the customer is, what they do and whether the relationship fits the information collected.
Higher-risk customers generally require closer review, stronger evidence and more frequent monitoring.
An alert is a signal that requires review. Investigation, evidence and analyst judgement determine what happens next.
A reviewer should understand who the customer is, why the relationship makes sense, how risk and screening were assessed, what evidence exists and how exceptions or investigations were handled.
