Banking & Finance

Financial managers, auditors and compliance personnel can address potential risks within the business, such as access controls, disbursements and regulatory compliance.

Banking & Finance


Financial institutions are powered by high-volume transactions, demand varying data formats and are regulated by strict regulations such as The Proceeds of Crime Act (POCA), The Bank Secrecy Act (BSA), Basel II, Sarbanes Oxley (SOX) and the USA Patriot Act. In order to meet compliance requirements and prevent fraud in a sustainable manner, there must be technologies in place that can import and analyze 100% of an organization’s data, regardless of type, volume or veracity.

Internal Audit, Risk & Compliance and Business operations now require data analytics that can monitor their data sources in a holistic fashion, in a way that is collaborative, automated and repeatable. CaseWare Analytics allows financial managers, auditors and compliance personnel to detect potential money-laundering schemes, monitor loan portfolio risks and analyse potential risks within the business, such as access controls, disbursements and regulatory compliance.

Solution Benefits

With hundreds of financial institutions as customers, CaseWare Analytics provides the following key benefits:

  • Better Fraud Detection

Gain insight into 100% of transactions, and through a collaborative workflow, facilitate analysis and investigation of exceptions.

  • Enhanced Monitoring of Controls

Monitor multiple systems concurrently and remove blind spots associated with assessing only a single application.

Download PDF

Banking Apps

CaseWare Analytics’ Banking Apps provide banks and other financial institutions assurance by offering an easy way to automatically detect errors and possible fraud schemes involved with loans and deposit accounts. Download the brochures below to learn more, or visit the Marketplace to purchase these and other helpful CaseWare IDEA apps now.







Download the Account Activity Manager brochure







Download the Loan Examiner brochure


  • Identify loans over or under specified amount, terms, or interest rate
  • Disbursement and original loan amount varies
  • Loans without schedules or incorrect schedules
  • Analyze impact of write-off for loans with late payments or other criteria

Investment Securities

  • Identify investments for which no dividends or interest have been received
  • Segregate securities that are outside certain investment grade parameters
  • Analyze trading activity for market timing
  • Analyze account activities for excessive trading or wash sales

Savings & Deposits

  • Identify clerks authorizing deposits for self or family members
  • Show accounts with incorrect service charge credits or reversals
  • Show accounts incorrectly exempted from service charges
  • Identify multiple accounts with the same address
  • Identify branches with excessive fee reversals
  • Match accounts to names, addresses, phones, or other characteristics identified in OFAC, PEP or Government sanctioned lists

General Ledger

  • Identify employees with a large number of reversing entries
  • Review suspense accounts activity for appropriate use
  • Verify feeder systems data in a consolidated ledger
  • Validate GL account footing

Accounts Payables

  • Identify duplicate payments across payment systems (ERP, P-cards, E-Procurement, etc.)
  • Summarize cash disbursements by account, bank, group, vendor, etc.
  • Look for check disbursements for unrecorded liabilities
  • Identify missing, duplicate, void or out of sequence check numbers
  • Identify check requests that exceed set or selected dollar amounts
  • Reconcile inter-branch transfers by extraction or inclusion

Account Activity Manager

Identifies and reports:

  • Inactive deposit accounts
  • Dormant accounts
  • Inactive accounts
  • Certificate of Deposit (CD) withdrawals
  • All maintenance activity to deposit accounts
  • New account with large spikes in the number and dollar amount deposits between two periods of time, which may indicate money laundering
  • Internal and employee accounts, including those that are not coded

Loan Examiner

Identifies and reports:

  • Overdue loans
  • All "user-selected" transaction types for which a user wants to generate reports
  • All maintenance activities on loans
  • Charged-off loans and loan recoveries by a loan officer


  • Days, payments and amounts delinquent for each loan
  • The number of months each loan has been extended


  • All loan transactions posted by the same officer who approved the loan
  • Open and closed loans for "rollover" loans that appear to have been made to a borrower to pay off loans to the same borrower