Compliance Risk Management & TPRM

Moody's compliance and third-party risk management

In an ever-evolving regulatory, risk, and compliance landscape, Moody's offers flexible, configurable solutions tailored to your organization's needs and its third-party ecosystem.

Moody's offers end-to-end solutions for your compliance third-party risk management program with data, analytics and automated workflows. Get the confidence you need to understand risk across your counterparty network while complying with global regulations.

Requirements for TPRM
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Third-party risk management

How Moody's can help you with TPRM

Make decisions with about who you work with - customers, suppliers, vendors, and partners - based on integrated access to in-depth data available in near real-time. Automate verification, screening, and monitoring of individuals and entities anywhere in the world according to your policies and processes. At Moody’s, we provide solutions for integrated risk assessment at onboarding and beyond.

Who am I doing business with?

Streamline access to high quality data on millions of individuals and entities, helping you to understand and mitigate risks throughout the lifecycle of a business relationship.

What are the risks of working with them?

Proactively map where risks lie across your counterparty network and understand when inherent or material risks change. Integrate leading datasets and curate risk profiles on individuals and entities using workflow automation.

How do I address risks at scale?

Leverage the power of innovation and automation to deliver efficient, effective third-party risk management and compliance. Implement processes that enable you to scale without adding resources to your business.

Meet your requirements for third-party risk management

Bring automation to your TPRM strategy that includes people, processes, and technology to create greater transparency across your universe of third-party relationships. Supporting compliance, helping to avoid disruption; and navigating regulatory and geopolitical change. Onboard, screen, and manage risk for customers, suppliers, and vendors efficiently and effectively with help from Moody’s.

Solutions

01 Automate KYC and AML

Automate KYC and AML

Leverage KYC and AML automation to minimize manual tasks, integrate leading datasets, and bring people into the process where they add the most value.

With powerful software, robust data, and deep expertise, our solutions help enable you to coordinate customer due diligence, conduct KYC, and manage AML compliance according to your risk policies.

Adopting Perpetual KYC (pKYC) facilitates more agile, near instantaneous response times to changes in customer information. With access to more reliable, timely data points, you can make risk-based decisions with greater confidence.

Intelligent screening

Our AI-driven screening technology, paired with extensive data covering adverse media, sanctions, watchlists, and Politically Exposed Persons (PEP), enhances precision, reduces false positives, and boosts efficiency. Our advanced, customizable, name-matching search filters, along with expert analysts, offer tailored risk identification and support.

With advanced AI and machine learning, our solutions help you achieve smarter screening, with consistent and precise automation of alerts for more effective risk management.

Beneficial ownership

Leverage detailed global data on companies and ownership structures, including Politically Exposed Persons (PEPs), sanctions, and adverse media data, to achieve new levels of certainty on risks associated with third-party entities.

With 1.2 billion ownership links, 1.05 billion historic ownership links, and 184 million active ownership links, our solutions enable you to establish greater corporate transparency and a clearer understanding of risk.

Sanctions screening

Leverage the latest sanctions data directly from government sources to understand which individuals and businesses are subject to sanctions, including those sanctioned through indirect ownership and control.

With a comprehensive database of individuals and organizations linked to sanctioned entities, our solutions help enable you to go beyond traditional watchlists and access information that’s seamlessly integrated into your automated monitoring workflows.

Supplier due diligence

Effective third-party risk management (TPRM) encompasses a unified approach to supplier due diligence from onboarding to ongoing monitoring.

Get greater visibility of the risks associated with third parties in your supply chain. Across different tiers in your network and any jurisdiction, we can help automate your supplier due diligence activity and integrate the checks you need for compliance. Better understand the threats to your organization from unethical or illegal operators and protect against reputational harm.

Automate KYC and AML

Leverage KYC and AML automation to minimize manual tasks, integrate leading datasets, and bring people into the process where they add the most value.

With powerful software, robust data, and deep expertise, our solutions help enable you to coordinate customer due diligence, conduct KYC, and manage AML compliance according to your risk policies.

Intelligent screening

With advanced AI and machine learning, our solutions help you achieve smarter screening, with consistent and precise automation of alerts for more effective risk management.

Beneficial ownership

Sanctions screening

Supplier due diligence

Effective third-party risk management (TPRM) encompasses a unified approach to supplier due diligence from onboarding to ongoing monitoring.

Third-party risk management

News and views

The constantly evolving battle with financial crime: The infinite game

The Infinite Game is a Moody’s short documentary series that explores the complex world of financial crime, its hidden costs, and the measures taken to thwart it.

article

Moody's

The complexities of a shell company operation

Shell companies with no significant assets or business operations can be used for both legitimate and illegitimate purposes. Although shell companies are not illegal, financial criminals typically make use of them to disguise ultimate beneficial ownership.

article

Moody's

PEPs screening using integrated risk assessment

Politically Exposed Persons or PEPs can be tied to various areas of financial risk—such as fraud, corruption, money laundering—making it important to understand if someone is a PEP before they are onboarded to your customer or supplier network.

article

Moody's

Moody’s research reveals low public understanding of Politically Exposed Persons (PEPs)

New research released by Moody's has highlighted low awareness around the world about Politically Exposed Persons (PEPs) and the risks they can be connected to.

article

Moody's

Financial fraud – a fight on many fronts

One of the major issues for those trying to combat fraud is the vast variety of fraud typologies that take place, emerge, and are thought-up all the time. Moody’s Grid database confirmed more than 16,000 new fraud risk alerts to customers in July 2023 alone.

article

Moody's

Media interview: The impact of money laundering for the wider economy

Choon Hong Chua, Head of Financial Crime Practice Group for APAC and the Middle East, was recently interviewed by Singapore radio station MONEY FM 89.3. In this interview, he unpacks the wider impact of the recent money laundering case making headlines in Singapore.

article

Moody's

Money laundering 101: How criminals launder money

With criminals using new technology and digital methods to launder cash, we explore these tactics, and the actions and regulations used to support AML and CTF efforts.