AML/KYC data and screening solutions including sanctions, PEPs, adverse media, and beneficial ownership data. Features due diligence research tools, AML screening, and ongoing monitoring capabilities specifically tailored for brokerage firms.
More about Dow Jones Risk & Compliance
Systems for screening clients against watchlists, monitoring transactions for suspicious activity, and maintaining regulatory compliance documentation.
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Identity Document Verification Ability to verify government-issued identity documents (passports, national IDs, etc.) electronically. |
Dow Jones offers electronic checks of government-issued IDs via partnerships and integration with onboarding systems. | |
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Facial Recognition/Matching Matches client-provided photos with ID documents using facial recognition technology. |
Not as far as we are aware.* No clear evidence of facial recognition or selfie-to-ID photo matching being offered by Dow Jones Risk & Compliance. | |
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Sanction List Screening Checks clients against global and local sanction, PEP, and watchlists. |
Sanction list screening is a core part of the Dow Jones AML/KYC screening solution including OFAC, UN, EU, HMT, and more. | |
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Adverse Media Screening Searches for negative news related to clients using media and public data sources. |
Adverse media screening is explicitly mentioned; Dow Jones provides global adverse media monitoring. | |
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Ongoing Customer Monitoring Continuously screens existing clients for changes in status or newly published risks. |
Ongoing monitoring and periodic rescreening are emphasized in Dow Jones solutions. | |
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Risk Scoring Engine Assigns dynamic risk scores to clients based on risk factors and behaviors. |
Risk scoring/risk classification per client is a documented feature within their AML/KYC product. | |
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Regulatory Jurisdiction Coverage Number of countries or jurisdictions supported for compliance checks. |
No information available | |
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Language Support Number of languages supported for global client onboarding and screening. |
No information available | |
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Enhanced Due Diligence Handling Supports additional data collection and review for high risk clients. |
Enhanced due diligence for high risk clients, including deep-dive research, is a core Dow Jones feature. | |
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Batch Processing Capability Ability to process multiple client screenings at once. |
No information available | |
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Customizable Screening Criteria Allows modification of threshold and parameters for screening rules. |
Screening rules (match sensitivity, scope, lists) are configurable as per Dow Jones technical documentation. |
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Real-Time Transaction Monitoring Automatically scans transactions for suspicious patterns as they occur. |
Not as far as we are aware.* Explicit real-time transaction monitoring (i.e. transaction-by-transaction pattern detection as they occur) is not a documented capability. | |
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Behavioral Pattern Detection Uses profiling and analytics to detect unusual or unexpected patterns. |
No information available | |
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Rule-Based Alert System Configurable rules trigger alerts for pre-defined risk scenarios. |
No information available | |
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Machine Learning/AI Analytics Employs AI models to detect previously unknown or emerging risks. |
No information available | |
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Alert Prioritization Ranks alerts based on severity and risk relevance for efficient case handling. |
No information available | |
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False Positive Management System features to reduce unnecessary alerts and streamline review. |
Dow Jones documentation emphasizes ongoing tuning to reduce false positive rate and provides tools for rapid resolution of alert matches. | |
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Volume Handling Capacity Maximum number of transactions monitored per second. |
No information available | |
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Integration with Trade/Order Systems Direct connection to brokerage trade/order platforms for seamless monitoring. |
No information available | |
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Peer Group Analysis Compares client behavior against similar client group averages. |
No information available | |
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Historical Data Analysis Supports backtesting and review of historical transactions for compliance audits. |
Historical data analysis is available, supporting audits and lookbacks of screening history. | |
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Automated Case Escalation Automatically escalates suspicious cases for compliance officer review. |
No information available |
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Integrated Global Lists Supports all major regulatory and financial watchlists (OFAC, EU, UN, etc.). |
Dow Jones supports major global watchlists as well as minor and regional lists. | |
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Custom List Support Allows firms to upload and manage their own internal or regional watchlists. |
Clients can upload and manage custom local/firm-wide lists. | |
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Automated List Updates Regularly and automatically fetches the latest list changes. |
Automated daily (or as released) updates for lists are included. | |
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Version Control Tracks list changes and maintains history for audit purposes. |
Audit-trail and version control over lists and changes are provided. | |
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List Capacity Maximum number of entries supported per watchlist. |
No information available | |
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Fuzzy Matching Algorithms Detects similar names or entities with variable spellings. |
Fuzzy name matching and multi-lingual search are core matching technologies. | |
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Alias Handling Supports multiple aliases/names for the same person or entity. |
Alias handling (multiple known names for individuals/entities) is covered in watchlist features. | |
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Bulk List Import/Export Allows batch file management for lists. |
Bulk import/export of lists is available for onboarding and ongoing operations. | |
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Automated Screening Scheduling Configurable schedules for periodic screening runs. |
Periodic automated screening can be scheduled via the system. | |
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Geo-Restriction Handling Manages restricted or high-risk regions and jurisdictions. |
Restricted/high-risk jurisdictions/regions are available as filter options under geo-restriction handling. |
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Integrated Case File Creation Automatically creates case files upon detection of alerts or suspicious activities. |
No information available | |
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Investigation Workflow Engine Guided process for analysts through investigation, review, and resolution steps. |
No information available | |
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Audit Trail Logging Maintains detailed logs of all actions taken on a case for compliance. |
Comprehensive logging is available across all actions, supporting audit trail requirements. | |
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Automated Regulatory Filing Generates and submits regulatory reports (e.g., SAR/STR) in the required formats. |
No information available | |
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Role-Based Access Control Restricts and manages access to cases based on user roles or responsibilities. |
Role-based access control is supported; users can be assigned permissions according to job responsibilities. | |
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Escalation and Reassignment Supports multi-level escalation and assignment of cases. |
No information available | |
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Case Review SLAs Tracks and enforces service-level agreements for case review duration. |
No information available | |
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Document Storage Capacity Maximum storage allocated per case for supporting documents. |
No information available | |
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Automated Case Notification Notifies relevant users upon updates, assignment, or need for action. |
Case assignment and status updates generate notifications for relevant users. | |
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Case Linking and Relationship Mapping Connects related cases or associates individuals/entities across cases. |
No information available |
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Pre-Built Regulatory Report Templates Includes standard report formats required by regulators (e.g., SAR, CTR, STR, KYC logs). |
Pre-built templates for standard regulatory reports (e.g. SARs) are available. | |
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Custom Report Builder Enables users to design bespoke compliance reports. |
Customizable reporting is part of the dashboard and analytics offerings. | |
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Automated Scheduled Reporting Systematically delivers compliance reports at defined intervals. |
Automated scheduled report generation can be set for regular intervals. | |
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Regulatory Data Retention Period Number of years for which compliance data is retained. |
No information available | |
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E-Filing Integration Supports direct submissions via regulatory authority electronic channels. |
Integration with e-filing and regulator portals is available where supported by authorities. | |
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Multi-Jurisdictional Compliance Built-in features for different global regulatory regimes. |
Multi-jurisdictional features and settings are emphasized in product literature. | |
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Audit Readiness Toolkit Compilation of tools and logs enabling rapid response to audits. |
No information available | |
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Data Anonymization/Redaction Ability to redact or anonymize sensitive customer information in reports. |
Product enables redaction/anonymization of personal data for regulatory and data privacy compliance. | |
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Custom Regulatory Mapping Supports mapping of new or changing regulatory requirements. |
Ongoing regulatory maintenance and mapping resources available for clients. | |
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Compliance Attestation Support Module for documentation and certification of compliance by officers. |
No information available |
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API Access and Documentation Provides detailed APIs for integration with proprietary or third-party systems. |
Extensive documented API library is supported for client integration. | |
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Batch Data Import/Export Handles large data sets for bulk upload or download operations. |
Product supports batch/bulk data import/export. | |
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Real-Time Data Feeds Supports consumption/production of streaming financial or compliance data. |
Real-time data feed consumption and distribution is supported. | |
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Third-Party Data Provider Integration Easy integration with external KYC/AML data sources, credit bureaus, etc. |
Dow Jones integrates with multiple third-party data sources (KYC, AML, credit) via API. | |
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Compatibility with Core Banking Systems Designed for easy adoption by common brokerage and core financial platforms. |
Designed to integrate with core banking platforms and financial services systems. | |
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Customizable Webhooks Triggers actions in other systems upon specific compliance events. |
No information available | |
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SSO and Identity Provider Support Integrates with identity management and SSO for organizational identity control. |
SSO and identity provider (IdP) integration is a standard offering. | |
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Plugin/Extension Support Can be extended with add-ons for specific compliance needs. |
No information available | |
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Connector Library Size Number of pre-built connectors to standard systems/platforms. |
No information available | |
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Legacy System Support Compatible with non-modern or legacy brokerage infrastructures. |
Some capabilities exist for legacy system support and migration. |
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Customizable Dashboards Personalized views for compliance officers, executives, or investigators. |
Customizable dashboards for different user types are described as a system capability. | |
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Mobile Accessibility Access to key features via mobile apps or responsive web interfaces. |
No information available | |
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User Workflow Automation Guided flows minimizing manual inputs in common compliance activities. |
Pre-built and custom workflow automation tools for screening and escalation are available for users. | |
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Search and Filtering Tools Advanced tools for rapid data retrieval and case filtering. |
Advanced case search and filtering is advertised among key system features. | |
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Bulk Action Tools Support for batch processing and bulk updates. |
Bulk approvals, reviews, and case management operations are supported. | |
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Multi-Language UI User interface offered in multiple languages. |
Multi-language UI available, with a subset of supported languages. | |
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Accessibility Compliance Meets accessibility standards such as WCAG for user inclusivity. |
Platform meets key accessibility standards such as WCAG. | |
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User Training and Help Center Built-in education modules and real-time assistance features. |
Dow Jones provides a help center and training resources embedded in their online portals. | |
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Custom User Roles Tailorable user permissions for granular security and workflow management. |
User roles and permissions are administratively granular and configurable. | |
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Performance/Load Times Average time taken for the UI to load main dashboards. |
No information available |
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Data Encryption In Transit/At Rest Encrypts all sensitive data both in motion and when stored. |
Product encrypts all sensitive data both in transit and at rest according to security certifications. | |
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Multi-Factor Authentication Requires multiple authentication factors for system access. |
Multi-factor authentication is a security option for Dow Jones platforms. | |
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Access Logging and Monitoring Extensive logs of all user access and administrative actions. |
Detailed access logs are maintained for compliance purposes. | |
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Penetration Testing Frequency How often the system undergoes external security assessment. |
No information available | |
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Data Residency Options Supports choice of specific regions/countries for data storage. |
Dow Jones offers regional data residency controls for regulated customers. | |
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Compliance with Industry Standards Adheres to standards such as ISO 27001, PCI DSS, GDPR. |
Dow Jones is certified for ISO 27001, GDPR, and other industry standards. | |
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User Session Time-Outs Automatic log-off after a period of inactivity. |
Session time-outs and automatic user log-off are standard security settings. | |
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Field-Level Data Masking Sensitive fields can be masked or hidden from unauthorized users. |
Field-level masking tools allow certain data points to be hidden based on user role. | |
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Secure Audit Log Storage Ensures immutability and backup of critical audit logs. |
Secure storage of audit logs is supported for all screening actions. | |
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Incident Response Procedures Documented processes for breach detection and notification. |
Incident response and breach protocols are documented in support and compliance whitepapers. |
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Concurrent User Limit Maximum number of users supported simultaneously. |
No information available | |
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Transaction Processing Latency Average time to process and analyze a single transaction. |
No information available | |
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Uptime/Availability SLA Guaranteed system availability often expressed as a percentage. |
No information available | |
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Data Ingestion Rate Speed at which system can ingest new compliance data. |
No information available | |
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Horizontal Scaling Support System supports scaling across servers/nodes to accommodate growth. |
Horizontal scalability is offered via cloud/SaaS and API deployment models. | |
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Performance Monitoring Tools Built-in dashboards and alerts on system performance metrics. |
Performance dashboards available for system administrators. | |
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Cloud Deployment Option System can be deployed as a cloud (SaaS) or hybrid solution. |
SaaS/cloud deployment is standard; on-prem options are available for some clients. | |
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On-Premise Deployment Option Supports local/internal hosting for sensitive or regulated data. |
On-premise deployments are supported for regulated brokerage environments. | |
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Disaster Recovery RTO Recovery Time Objective in case of system outage. |
No information available | |
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Database Size Limit Maximum database size supported without performance loss. |
No information available |
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24/7 Support Availability Round-the-clock access to technical and compliance support. |
24/7 technical and compliance support advertised in product materials. | |
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Dedicated Account Manager Single point of contact for service and issue escalation. |
Dedicated account managers assigned to clients. | |
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Self-Service Knowledge Base Extensive library of documentation, FAQs, and training material. |
An extensive online knowledge base is available for self-service. | |
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Regular System Updates Frequency of non-disruptive security, functionality and rule updates. |
No information available | |
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Custom SLA Options Ability to define support levels and response times contractually. |
No information available | |
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Uptime Guarantee Contractual uptime guarantee for system operation. |
No information available | |
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Automated Backup Scheduling Scheduled, automated backups of all system and client data. |
Automated backup schedules noted as standard practice in documentation. | |
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Patch Management Tools Automation of system security patching and compliance rule changes. |
No information available | |
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User Feedback Loop Mechanisms for users to submit feedback and feature requests. |
Feedback mechanisms and client suggestion channels are described in service documentation. | |
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Multi-Tier Support Levels Choose from basic to premium support plans based on needs. |
Multiple support and maintenance tiers available, matched to client needs. |
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Transparent Pricing Model Clearly published and predictable licensing or usage costs. |
Pricing models, including licensing and costs, are documented and predictable. | |
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Pay-As-You-Go Option Usage-based billing for modular feature access. |
Pay-as-you-go or modular add-on options available for select features. | |
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Volume Discounts Available Lower per-unit pricing as transaction or client count increases. |
Volume-based pricing and discounts available for high-throughput clients. | |
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Free Trial/POC Period for free evaluation or proof of concept. |
Free trial/POC support is available for evaluation prior to full deployment. | |
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Feature-Based Licensing Modular pricing per individual function/module. |
Feature-based modular licensing offered for additional due diligence, monitoring, lists, etc. | |
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Perpetual License Option Option to purchase software outright rather than as a subscription. |
No information available | |
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Annual Billing Option Discounted pricing for annual upfront payment. |
Annual billing and multi-year discounts are options for clients. | |
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Multi-Entity Licensing Special terms for multi-subsidiary or group licensing. |
Multi-entity licensing available for brokerages with subsidiaries or international branches. | |
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Seat/User License Cap Maximum number of named users included without additional charges. |
No information available | |
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Additional Data Storage Pricing Published price per additional unit of data storage. |
No information available |
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