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Moody’s compliance and third-party risk management

Intelligent risk and compliance screening

Harness the power of AI and machine learning to automate risk and compliance screening. Process alerts with consistency and accuracy. And get more precise results and a significant reduction in false positives. Identify risks in your counterparty network using intelligent screening and mitigate issues before they become a problem.

Moody's advanced screening technology, AI Review, can help reduce false positives when name matching by as much as 80%. True alerts can be prioritized to reduce the time-to-decision during risk assessments. Leveraging our machine-learning model built on over 20 years of experience and millions of analyst decisions. An alert confidence score can be produced for each inquiry and used as a first-level screening solution to mimic a human analyst.

Smarter due diligence - mitigate the risk of financial crime, meet regulatory obligations, and harness the industry-leading technology. 

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Automate risk and compliance processes

Solutions for screening customers, suppliers, and third parties

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Intelligent screening uses everything from advanced algorithms and data analytics to efficiently identify and evaluate potential risks associated with individuals or entities. We can help you streamline processes to ensure you meet the legal and ethical standards that apply to your organization.

Our market intelligence data on a vast network of counterparties enables you to control risks across your counterparty network. Automate screening against sanctions lists, PEPs lists, adverse media stories, and other reputation risk metrics.

Create a digital workflow that fulfils your risk management and regulatory requirements. Use AI and machine learning to support compliance professionals to be more effective and efficient in counterparty appraisals and selection processes. And be proactive in relationship management by understanding where potential risks lie in near real-time.

  • Digital onboarding workflows
  • Automated risk monitoring
  • Real-time alerts and detection
  • AI-enabled name matching
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Entity screening process

Intelligent screening based on combined risk factors to find a true match

Infographic showing intelligent screening based on combined risk factors to find a true match

Intelligent screening spotlight series

AI and data at Moody’s

Explore the realm of intelligent screening powered by AI. New technologies, like AI and machine learning, are rapidly impacting compliance and third-party risk management processes, streamlining manual work and making your life easier. Danielle Ferry, Managing Director of Product Strategy at Moody's, highlights evolving compliance and risk management practices and how you can add AI-powered intelligent screening to your toolkit. 

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Intelligent screening spotlight series

Name matching

Screening individuals and entities for risks related to sanctions, political exposure, and reputational or media events using new technologies is explained here by Hudson Martin, Associate Director of Product Management at Moody's. Find out about culture-based name matching, meticulous risk tagging, and advanced machine learning models that mimic human policy implementation. Hear more about the customizable nature of Moody’s intelligent screening, the value in saving time, and striking a balance between risk and opportunity. 

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Intelligent screening spotlight series

Model governance and Generative AI

Get a look into model governance and how GenAI makes screening intelligent with Mike Xu, Director of Data Strategy at Moody's. Gain insights into how AI enhances risk screening and supports data infrastructure, showcasing structured data and added value. Discover how our innovative technologies help simplify traditionally manual processes, making risk management more efficient and effective. 

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Intelligent screening spotlight series

Risk profiles and negative news screening

It's essential to understand who you are doing business with. Colleen Dychdala, Associate Director of Data Operations at Moody's, delves into how creating "riskographies" with data curation is more efficient using Moody's intelligent screening solutions. Get risk insight and explore the power of negative news screening that leverages AI to simplify the ingestion process. 

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Go beyond the lists

Sanctions and watchlists

Understand which businesses are subject to sanctions, including those sanctioned through indirect ownership and control. Go beyond watchlists and get the most up-to-date, accurate data, sourced directly from national registers and government authorities. Combine this data with a comprehensive record of individuals and organizations connected to sanctioned entities and integrate it directly with your automated monitoring workflows. Then you have a powerful, intelligent solution to meet a complicated challenge.

GRID for Screening
KOMPANY KYC API

Part of a holistic screening process

Identifying shell company-related risks

Screening for shell company-related risks is rapidly becoming a regulatory imperative. Make it part of your holistic approach to AML, KYC, and sanctions compliance. Moody's shell company indicator can be an invaluable tool in any intelligent screening process.

Understand and identify risky corporate structures in your counterparty network to make better decisions about the entities you work with. Automate the process of flagging high-risk entities who could be used to facilitate crimes like fraud and money laundering.

Incorporate shell company indicator into your screening processes to strengthen enhanced due diligence, decision making, risk management and compliance. 

Shell Company Indicator

Intelligent risk identification

Leveraging adverse media

Uncover hidden risk relevant to your operation with the world’s leading negative news screening solution. Our adverse media database monitors from the earliest indication of risk. From accusation through to conviction. Automate your search with carefully selected media sources and apply powerful filters such as risk code, stage, and rating to home in on relevant risk and benefit from decades of analyst decisioning for a reduction in false positives that's driven by AI.

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Risk and compliance assurance

Screening for politically exposed persons (PEPs)

Our leading, global, politically exposed persons (PEPs) dataset uses a unique risk-rating system that considers the country, position, level, and event risks associated with PEPs. This data is available and updated in near real-time, so you don't have to wait to identify a new and relevant risk in your counterparty network.

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Brilliant risk and compliance assessment

What makes brilliant risk and compliance screening for you?

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Navigating the world of financial crime risk and compliance can feel like steering through a maze. Whether you're in the corporate world, working in a government department, or part of a financial institution, understanding risk assessment and managing your compliance obligations is key. Intelligent screening can help provide a clear path through to better decision making when it comes to understanding who you are working with.

Developing risk assessment processes that use comprehensive data, innovative technology, and expert insight helps you understand risk, spot potential threats, and avoid legal penalties or reputational damage.

We want to help you understand risk and make decisions with confidence:

  • Automate screening processes
  • Harness leading data sources
  • Leverage AI and machine learning
  • Integrate expert insight
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Risk and compliance built for your organization

Start with your organization and its risk appetite. We can build intelligent screening that's right for you, understanding the specific rules, regulations, and compliance standards that apply. Then we can map your current practices to see where there are efficiency gains or gaps that risks could slip through.

Moody’s can help your journey of digital transformation and AI adoption. Implement controls, procedures, and solutions to navigate risk. Then carry out regular reviews to ensure you're on a path of continual improvement. Our solutions are flexible, so you can adapt to changes or new challenges whenever you need.

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Benefits of intelligent risk and compliance assessment

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The benefits of intelligent risk and compliance screening extend beyond avoiding fines or legal issues. A robust approach to risk and compliance builds trust for your brand. Your clients, partners, and the public can see you are reliable and accountability.

Protect your reputation, ensure operational continuity, and avoid the threat of association with money laundering, terrorist financing, fraud, and other areas of financial crime.

Let's navigate this journey together with intelligent risk and compliance screening. Get in touch today.

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KYC Decoded podcast

Intelligent screening: How machine learning is changing the game

The art and science of screening in the KYC and AML world has certainly come a long way from the days of manually checking for names and organizations against a short list. Risk factors have evolved exponentially, increasing regulations have influenced risk appetites, and powerful technologies like Machine Learning (ML) and Generative AI (GenAI) have caught on like wildfire.

In this episode of KYC Decoded, in-house experts Mike Xu, Data Strategy Director, and Victor Cotillon, Risk & Screening Product Strategist, provide valuable insights into the role of Machine Learning when screening. Highlights of their conversation with host, Alex Pillow, include:

  • What screening means and why it is performed by KYC and AML practitioners
  • The concept of ‘fuzzy matching’
  • How technologies help weed out false positives when name matching
  • Pros and cons of integrating ML into an intelligent screening process
    Keep human’s in the loop when using more sophisticated ML
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Insights and resources

More to read and listen to on intelligent screening

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That's not my name: challenges in KYC name matching

Culture, geography, politics, and media reporting all create challenges for name matching in a KYC or due diligence process, even when software is used to perform the matches. In this article, we show how intelligent screening processes harness entity data and machine learning to solve challenges around finding true alerts.

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The importance of Negative News Screening (NNS) in customer and supplier due diligence

In today's fast-paced and ever-expanding digital news landscape, the need for effective negative news screening (sometimes known as adverse media screening) in customer and supplier due diligence processes as well as ongoing risk monitoring can’t be overstated.

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Moody’s a two-category winner in new Chartis Research report

Chartis released its inaugural Financial Crime and Compliance ranking (FCC50) – it showcases those in FinCrime and compliance that are setting new benchmarks for excellence across innovation, strategic direction, market presence, and customer success. Moody’s is ranked in the top 5 and named winner in two categories: perpetual KYC and shell company detection.

READ MORE
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