Risk Governance

Caspian Risk Governance is built into our AML Investigator to ensure that investigations and decisions can be trusted.

Effective tools to manage complex AI solutions on an ongoing basis are vital for all banks.

Caspian Risk Governance tools empower you to ensure that the platform is always performing within regulatory requirements.

The management tools provide invaluable stress testing, monitoring and identification of new potential risk typologies.

Any issues are automatically alerted, including appropriate remediation action.


Every model used by the AML Investigator is back-tested before it goes live, to ensure it meets your relevant risk thresholds.

Performance analysis is conducted at a granular level because simply using overall figures can disguise issues with rare, harder to detect, but high-impact types of case. This ensures that performance is above threshold for each type of customer and alert and you get the evidence you need to ensure model risk is managed appropriately.

simulation testing

A simulation environment allows us to stress test the system against data drift and new customer behaviours, so we know that alert thresholds are set appropriately. We can also run ‘white hat attacks’, testing the system against attempts to bypass alerts.

ongoing monitoring

Performance monitoring of subject matter experts (SMEs) ensures training data is based on the best available human expertise. This helps to ensure that:

  • SME consensus and outliers are tracked
  • Top Authority decisions can be automated

A continuous review process by SMEs provides four-eyes assurance of decisions and explanations which:

  • Provides granular feedback on AML Investigator performance
  • Enables ongoing training against reconciled decisions

decision traceability

Underlying everything is an audit process that can trace any decision back to a training set, labels and identified subject matter experts. This gives a bedrock of traceability that ensure decisions can be explained and justified.


We are delivering the Caspian AML Investigator platform in Tier 1 Banks to transform high-volume investigation management. We investigate and judge a high volume of AML alerts more efficiently, accurately and to a scale that exceeds in-house experts.





Experience for yourself how Caspian can automate or augment your AML risk investigations with a remote or in-person demo today.