Organizational setup

The hierarchy includes four levels:

• Organization: Represents the top-level entity, typically the bank or a major legal entity. This level defines the broadest scope of operational segregation.
• Division: Segments the organization into high-level functional or regional areas, such as Retail Banking, EU Operations, or US Compliance.
• Work Group: Groups related tasks or investigations under a specific division. Examples include Fraud Investigations, Sanctions Screening, or Charge Claims.
• Work Queue: Routes work to specific teams or individuals. This level controls access and assignment at the user or team level.

This structure enables precise routing, visibility, and access control. For example, a sanctions screening team in the EU sees only relevant cases from their region and scope, which reduces regulatory risk and operational inefficiency.

Divisions form the second tier of the hierarchy, segmenting operations into functional or regional units. In the Pega Smart Investigate® for Payments (SIP) implementation, divisions aligned with business functions (such as Corporate Banking or Retail Operations) or geographic regions (such as APAC, EMEA, or Americas). In SIAA, divisions retain this structure but offer enhanced cross-divisional visibility and reporting.

To configure divisions:

• Map existing SIP divisions to the new structure.
• Consolidate overlapping divisions to streamline operations.
• Create new divisions if your business has evolved.
• Use clear, descriptive names that reflect each division's function or region.

Configure division-level settings:

• Service-level agreement (SLA) parameters specific to each division.
• Reporting hierarchies and dashboards.
• Division-specific routing rules.
• Access controls that give division managers visibility across their domain while restricting access to other divisions, as required.

Work Groups represent functional teams or specialized units within a division that handle specific investigation categories. In SIP, Work Groups often aligned with investigation types such as Payment Investigations, Reconciliation Exceptions, or Sanctions Screening. SIAA enhances Work Groups with improved routing and integration with the Resolution Activities framework, allowing more precise assignment of work.

To configure Work Groups:

• Map existing SIP Work Groups to the SIAA structure.
• Consolidate or create new Work Groups as needed.
• Align Work Groups with the Resolution Activities framework.
• Use clear, descriptive names that reflect each Work Group's function and scope.

Configure Work Group settings:

• Skill requirements for assigned operators.
• Default routing rules and assignment criteria.
• SLA parameters and performance metrics.
• Escalation paths for complex cases requiring multiple areas of expertise.
• Matrix structures, if needed, to allow cases to span multiple Work Groups.

After defining the organizational structure, configure routing to direct cases to the correct queues based on attributes such as region, product type, Case Type, or priority. This ensures that investigations are handled by appropriately skilled users.

SIAA supports dynamic, automated assignment through the Get Next Work feature, which evaluates:

• User access rights
• User skills
• Work urgency and priority

This feature promotes fairness, efficiency, and SLA adherence.

To configure Work Queues:

• Map existing SIP queues to the SIAA structure.
• Consolidate or expand queues as needed.
• Use central queues with filters instead of creating many separate queues.
• Use clear, descriptive names for each queue.

Configure Work Queue settings:

• Skill requirements for assigned operators.
• Default routing rules and assignment criteria.

Set up the Get Next Work algorithm:

• Apply urgency according to current business rules.
• Configure SLAs to monitor completion time for orchestration-level and resolution activities.

Portals, Access Groups, and role-based access control (RBAC) enable administrators and business teams to control what users can access and perform, based on their roles.

In SIP, portals were section-based and typically customized for specific operational needs. In SIAA, portals use a component-based architecture that improves responsiveness, performance, and usability across devices.

To configure portals:

• Use the default SIAA portals as a starting point.
• Identify essential functionality from SIP portals that you want to preserve.
• Apply required modifications using the Constellation component model.

Configure role-based portal access for:

• Manager portals, with dashboards and reporting tools.
• Specialist portals, focused on case processing.
• Administrator portals, with configuration and maintenance tools.
• Use dashboard features to provide users with relevant key performance indicators (KPIs) and work queues.
• Consider a phased rollout starting with a pilot group to gather feedback before full deployment.

Service-level agreements (SLAs) help monitor and control adherence to time-based commitments for completing work. Out of the box, SIAA SLAs are set to meet Swift standards. These can be adjusted according to your own business requirements.

SLAs apply across multiple dimensions:

• Dispatch: Case processing for stages and steps requiring manual intervention.
• Orchestration: Holistic case-wide SLA.
  • Configure the Manage next steps stage to follow up with counterparties appropriately.
  • Review the state model and ensure each stage and step sets an appropriate status.
• Assignments: SLA for individual task completion.
• Escalations: SLA for handling overdue or complex cases.