Compliance Systems KYC View for Investment Banking Company


6,000 staff 
18 offices 
38 partners
Investment banking, Commercial banking, 
Private equity, Wealth management, M&A
Goal: Implement KYCView application for Anti-Money Laundering (AML) compliance 

Business Problem/ Scope of Work

Goal: To improve the efficiency and accuracy of the investment bank's KYC compliance process, thereby reducing the processing time, minimizing errors, and enhancing the bank's overall compliance posture.

The Client is a privately-owned financial institution that has been a leading voice and solutions provider for over two centuries. Our Private Banking, Investment Management, and Investor Services cater to the most discerning individuals and institutions. Our workforce operates across multiple locations throughout North America, Europe, and Asia.


Largest private investment bank and its associates are devoted to adhering to all anti-money laundering (AML) regulations in the locations where its operations are conducted.


Being aware of the customers' and their business requirements is part of the Know Your Customer (KYC), Customer Identification, Due Diligence and Extended Due Diligence procedure to provide the customers with various product types. The KYCView application helps to identify, assess the customer entity type, and implement a suspicious activity program.

Business Solution

Compliance Systems' KYCView 2.0 is an upgraded version of its existing KYCView application. It is composed of configurable components that enable the adherence to all anti-money laundering regulations and laws in investment banking operations.


It obtains customer identification data along with details about the legal entity and ownership, as well as investment particulars of different entity types.It also has a defined workflow for different verification processes and offers regulatory reports for various jurisdictions.


Furthermore, KYCView's verifiable data is applied for customer verification and due diligence for different investment goods.

Technical Solution

Middleware Architecture

The KYC View Front End operation is regulated by IBM ODM and is responsible for deciding the next attribute screens based on customer identification attributes and primary profile information. The front end construction is made with the AngularJS framework which is enabled by JavaScript, NodeJS, Ajax, HTML, JSON, CSS, and XML to provide a platform for business user input of CID (Customer Identification Document) attributes and legal entity attributes.

The front end workflow screens are based on the service output from IBM ODM business rule execution and through REST api services response which creates a json output and supplies a java (Spring Boot) middleware process for flow determination.

The middleware deals with the core logic of communication with the back end database, ODM flow and the front end (with json) via Orchestration, Data Aggregation and Persistence api with a service method based configurable framework using SpringBoot, SpringMVC, Hibernate and RESTful apis. The KYCView 2.0 of compliance systems also functions as the entry point.


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.

Customer Success Outcomes

Compliance Systems KYC View for Investment Banking Company Customer Success Outcomes


Improved Efficiency: Pronix Inc. helped the investment bank to implement a new KYC (Know Your Customer) compliance system, KYC View 2.0, which helped to automate and streamline the compliance process by 50% reduction in manual efforts for KYC compliance.
Faster Processing Time: The new KYC compliance system allowed the investment bank to process compliance checks more quickly, reducing the time required to complete KYC checks from days to hours by 75% improvement in processing time for KYC compliance checks.
Increased Data Accuracy: The new compliance system provided the investment bank with more accurate and reliable data, reducing the likelihood of errors and data discrepancies with 20% improvement in data accuracy for KYC compliance checks.
Cost Savings: By implementing the new KYC compliance system, the investment bank was able to reduce its overall compliance costs by 15%
Improved Compliance: The new KYC compliance system allowed the investment bank to meet regulatory requirements more efficiently and accurately, reducing the risk of non-compliance by 30% reduction in compliance-related issues.
In conclusion, Pronix Inc.'s technical solution for the investment banking industry's compliance systems was highly effective and streamlined critical business operations. The solution involved the implementation of KYC View and KYC View 2.0, which significantly improved the accuracy and efficiency of Know Your Customer (KYC) compliance processes. As a result, the investment banking company was able to significantly reduce manual efforts and errors, improve overall compliance accuracy and efficiency, and better meet regulatory requirements. Pronix's expertise and dedication to delivering a tailored solution to meet the investment banking industry's unique needs resulted in a successful outcome that positively impacted both the business and its customers.

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