Transfer of a sanctions solution into RUN mode


The client, a global leader in industrial insurance, had already implemented a software to identify and monitor sanction breaches. Essential requirements for transferring the software into regular operation, such as compiling user indexes, trainings and coordinations with the IT support, had not been completed. Further needs existed in the integration of additional insurance portfolios from Asia and North America, into the automated sanctions screening. For operation of the hit analysis a central unit needed to be built.


In a first step a tamper-proof process description and user documentation needed to be built and coordinated. Especially for the commissioning of the implementation, operational documents had to be compiled and coordinated with various stakeholders such as data protection officers, IT security officers and IT-managers. The central IT operations support unit was trained and information for the solution database had been provided. With the scope enhancement for screening additional client portfolios in Asia and North America, all regulatory requirements and demands from business processes and IT were queried, consolidated and aligned with the application standard.

The implementation of the enhancement was done in accordance with classic project management based on PRINCE2 standard. More than 4 million customer data had been scanned regularly and fully automated with the go-live. The development of a central alert handling team in India, which was able of doing the main part of auditing tasks of operational and compliance officers, happened simultaneously. Local comprehensive trainings, the provision of educational material and work instructions were offered additionally. With the launch of the software solution user trainings were conducted with all users of the 1st and 2nd line of defence and unified quality standards had been established.


The sanction monitoring solution, in compliance with IT Service management standards, was transferred into regular operation within 3 months. A comprehensive application and process documentation was established. Function extensions within the tool were implemented and put into operation in due time. A central team of 6 employees was built up in India. Their service was put into action as soon as possible.

Training materials and quality assurance measures for the final users were implemented just as the process and user documentation for the IT operations.


Project Manager