The Challenge:
The Anti-Money Laundering (AML) Investigations Team at a Fortune 500 Brokerage firm faced a growing case backlog, placing the organization at risk of missing regulatory deadlines, particularly for time-sensitive Suspicious Activity Report (SAR) investigations approaching compliance cutoffs.
The Solution:
Eliassen Group deployed a team of AML and banking experts to partner with client leadership and triage the backlog. After aligning on investigation priorities and SAR targets, we trained our team on client systems and workflows, then conducted targeted investigations. To support transparency and execution, we developed a custom weekly investigation dashboard with drill-down reporting, enhancing leadership visibility into investigation status and team performance.
The Result:
Eliassen Group’s partnership enabled the client to regain control of compliance timelines, reduce regulatory risk and establish sustainable practices for long term backlog management. Our impact included:
- Completing 290 investigations and associated SARs, exceeding production goals
- Reducing case aging from over 90 days to under 30 days
- Enhancing investigation procedures and training materials, delivering lasting improvements in operational effectiveness
