Compliance, Fraud and Risk Management Solutions

Summit Horizons offers a suite of risk-based solutions focusing on compliance and fraud in business areas.  Our solutions enable companies in the financial services, telecommunications
as well as government agencies to mitigate strategic risk-based challenges related to
compliance and fraud.

Our compliance solutions for financial services firms combine in-depth knowledge of the
regulatory environment including SEC, FINRA, CFTC, FSA, and AMF.   The solutions leverage techniques to detect suspicious transaction patterns, including historical, peer and sequence analysis to identify unusual behavior as well as analytics that test anomalies in wide areas of
topics.  These techniques provide the tools needed to effectively manage the surveillance,
analysis, investigation, reporting, and audit process.   Our fraud solution uses an established
fraud prevention methodology which leverages a comprehensive set of established and
proprietary fraud predictors across multiple functional and operational areas. 

Dashboards
Provides a customizable high-level view of high-focus items such as warnings, alerts, profiling, a list of relevant activity and behavior deviations.  This visual tool allows users to quickly identify and investigate suspicious and problem areas.  

Investigation tools
Geared toward the non-technical end-user, these tools can perform sophisticated ad-hoc analysis of transactions, cases, alerts and more.  Efficient investigations are possible with query by example, real-time feedback and query automation. 

Database of fraud predictors
Summit Horizons fraud solutions are based on logic captures within a comprehensive and complex data analysis based on a collection of best-practice fraud predictors, advanced profiling, and sophisticated scoring algorithms.   The objective of the system is to create a robust analytical risk control apparatus for early detection of problematic activities thus reducing firms’ exposure to risk.

Case Management
Provides a library of workflow templates to help meet legal and administrative requirements for establishing, enforcing, and documenting workflow processes. The library depends on role, timing, and action sensitivity to enforce business rules such as process requirements, automatic escalation, and notifications. Workflow templates include process coverage of suspicious activity management, information sharing requests, fraud claims, regulatory litigation/enforcement actions, and more.