Investigation Lifecycle Management

Overview#

The Investigation Lifecycle Management module delivers end-to-end case orchestration for financial crime analysts, providing tools to create, manage, track, and close investigations with full audit compliance and operational efficiency. The system manages the complete investigation lifecycle through five core states (Draft, Active, Under Review, Closed, Archived) with configurable approval workflows, automatic status transitions, and template-based case initiation across common investigation types.

Key Features#

• Five-State Lifecycle Management -- Investigations transition through Draft, Active, Under Review, Closed, and Archived states with configurable business rules, approval workflows, and automatic status transitions.
• Investigation Template Library -- Pre-configured templates for AML, fraud, sanctions, KYC, and other investigation types standardize evidence collection and accelerate case initiation.
• Evidence Attachment and Management -- Automated evidence processing with file validation, metadata extraction, OCR analysis, entity detection, and full-text indexing for rapid evidence discovery.
• Task and Workflow Automation -- Automated task generation from templates with custom rules, task queuing, quality assurance checks, and supervisor approval gates at critical milestones.
• SLA and Deadline Management -- Configurable service level agreements with escalation warnings, milestone tracking, and automated notifications ensure timely investigation completion.
• Investigation Cloning -- Rapid setup for related cases through investigation cloning preserves relevant context while creating independent case records.
• Role-Based Access Control -- Analyst, supervisor, and administrator permission tiers ensure appropriate access to investigation data with investigation-level and team-level scoping.
• Immutable Audit Trail -- All status changes, user actions, and timestamps are recorded with tamper-proof hashing, ensuring regulatory examination readiness.
• Retention and Archival Management -- Automated retention policies with configurable dormancy periods, compressed archival storage, and restoration capabilities for compliance requirements.

Use Cases#

• AML Investigation Workflow -- Compliance teams manage structuring, trade-based money laundering, wire transfer anomaly, and other AML investigations through standardized templates with built-in regulatory requirements.
• Fraud Case Management -- Fraud investigators process identity theft, check fraud, card fraud, and investment fraud cases through structured workflows with evidence collection checkpoints.
• Sanctions and KYC Investigations -- OFAC screening, PEP investigations, adverse media reviews, and enhanced due diligence cases follow jurisdiction-specific templates with regulatory field requirements.
• Supervisor Review and Approval -- Multi-stage review workflows enable supervisors to review, approve, or reject investigations with documented feedback and revision tracking.
• Regulatory Examination Preparation -- Immutable audit trails and automated documentation ensure investigations meet regulatory examination standards with complete operational transparency.
• Team Workload Management -- Case assignment, workload balancing, and team performance metrics enable managers to optimize analyst capacity across active investigations.

Integration#

The Investigation Lifecycle Management module integrates with the platform's alert management, entity resolution, transaction monitoring, and reporting systems. Investigations can be initiated from transaction monitoring alerts, and evidence collected during the investigation feeds into compliance reporting and SAR filing workflows. The module supports real-time status updates, subscription-based notifications, and bidirectional synchronization with external case management systems.

Last Reviewed: 2026-02-23