Compliance Systems KYC View, KYC View 2.0 for Investment Banking Company in New York

Business Problem/ Scope of Work

To support different product and services, Brown Brothers Harriman it's subsidiaries and partners including employees and personnel are committed to complying with letter and spirit for all anti money laundering (AML) laws and regulations in jurisdictions of BBH's business. For knowing customers and their business needs are part of the KYC, Customer Identification, Due Diligence and Enhanced Due Diligence to serve the customers by offering different product types and KYCView application supports the process of identifying, due diligence of customer entity type and monitoring suspicious activity program.

Business Solution

KYCView 2.0 application of Compliance Systems is a enhanced application to the existing KYCView though simple configurable components, which supports the process for compliance with letter and spirit for all anti money laundering (AML) laws and regulations in jurisdictions of BBH's (Brown Brothers Harriman’s) business through capturing customer identification attributes along with information on legal entity/ownership, investment details of different entities types with different verification processes through a well defined workflow also providing the necessary regulatory based reports for different jurisdictions.

KYCView verified data is also used as input for different BBH products for customer verification process and due diligence.

Technical Solution

KYC View Front End workflow is driven by IBM ODM which determines next attribute screens by having the inputs from customer identification attributes and basic profile details. The frontend build with AngularJS framework supported by scripts JavaScript, NodeJS, Ajax, HTML, JSON, CSS, XML providing interface for business user input of CID( Customer Identification Document) attributes and legal entity attributes. Frontend workflow screens depends on the service output from IBM ODM business rules execution and through REST api services response which produces a json output and serves a input to java (Spring Boot) middleware process for flow determination. The middleware handles the core logic of communication with backend database, ODM flow and the frontend (with json) through Orchestration, Data Aggregation and Persistence api with a service method based configurable framework using SpringBoot, SpringMVC, Hibernate and RESTful apis. KYCView 2.0 of compliance systems also acts as the entry-point for different BBH products (e.g. Private Banking, Investor Services, Account services.) for Customer Identification, Due Diligence and Enhanced Due Diligence with Rest API exposure through independent micro services using Springboot, Hibernate.

Backend Data is stored in Oracle DB through Hibernate JPA using named queries. Also the renewal process is driven by oracle jobs which run the Stored Procedures on specific period/intervals. The Crystallized reports meant for Regulatory Authorities and BBH internal usage are being generated through the Apache PDF api’s.  

Technologies/ Skills Used

Java, J2EE, JDBC, Hibernate, Spring, Spring MVC, Spring-Boot, Spring-JPA, HTML/HTML5, AngularJS,  JavaScript, CSS, AJAX, JSON, Bootstrap, NodeJS, Servlet, JSP, Jenkins, XML, XSD, SOAP, WSDL, REST, Jersey, JAX-RS, Web Services, Gulp, BMP ODM/Rule Engine, Apache PDF api’s, GIT, JIRA, Maven, Oracle, SQL Developer, JUnit, Mockito, Log4J, Sprint Tool Suite IDE, Intellij IDE,Gulp, WebSphere Application server, Windows and UNIX with SDLC, Agile/SCRUM methodologies.