Description
Logical system record for automated compliance monitoring implemented in Odoo SaaS 19.1 using Sales Orders, Purchase Orders, contacts, custom fields, automated actions, scheduled actions and Helpdesk tickets.
Runtime
- Platform: Odoo SaaS 19.1
- Environment: operational implementation described in the memorandum
- Business owner: Compliance
- Technical owner: Technology, subject to named-administrator confirmation
- Compliance Helpdesk: ID 2
- Registers Helpdesk: ID 6
- Customer Care Helpdesk: AMLBot intake dependency
- Access model: not documented in the memorandum
- Configuration baseline: not independently inspected
- Last verification: 2026-07-26, document review only
Functional Scope
- SO and PO large-transaction, structuring, high-risk and profile-deviation monitoring
- Internal UTR/FIU ticket creation and register support
- ID-validity and risk-review reminders and KYC restriction
- AMLBot wallet-risk ticket routing and client matching
- Transaction Monitoring, UTR and ID-validity reporting
- AMLBot and UTR gap analysis
- Helpdesk and chatter audit trail
Data
The system processes restricted client identity, risk, wallet, transaction, monitoring, UTR/FIU and case information. It uses the custom fields and categories listed in PUB-IT-001 Automated Compliance Monitoring Controls in Odoo SOP.
Dependencies
- Odoo contacts, Sales Orders, Purchase Orders and Helpdesk
- Client and B2B tag governance
- Risk profile, expected activity and review dates
- Currency conversion to XCG
- AMLBot email subject and body format
- Configured wallet address fields
- Compliance and Registers Helpdesk access and categories
- Odoo backup, recovery and change management
Security and Control Expectations
- Restricted access to monitoring, suspicion and UTR/FIU records
- No client followers on internal compliance tickets by default
- Approved automation and custom-field configuration
- Audit logging, duplicate prevention and protected evidence
- Failure monitoring, retry, exception assignment and aging
- Controlled thresholds, exchange rates, timezone and lookback periods
- Tested deployment, rollback, backup and restoration
- Independent gap analysis and periodic operating-effectiveness testing
Boundaries
The system supports detection, routing, evidence and reporting workflows. It does not replace:
- Compliance or MLRO investigation and UTR decisioning;
- external FIU submission or confirmation;
- sanctions, restrictive-action or CBCS-notification assessment;
- complete KYC/CDD for legal entities, beneficial owners or representatives;
- human review of unmatched or multiple wallet matches; or
- independent assurance over control completeness and operation.
Relationships
- Parent policy: POL-IT-001 IT and Cybersecurity Manual
- Parent procedure: PROC-IT-008 Manage Technology Change Acquisition and Outsourced IT Services
- SOP: PUB-IT-001 Automated Compliance Monitoring Controls in Odoo SOP
- KYT operating SOP: PUB-KYT-001 Odoo Pre-Trade and Post-Trade KYT Controls SOP
- Crystal system: SYS-KYT-001 Crystal Intelligence Blockchain Analytics
- Crystal calibration record: PUB-KYT-002 Crystal Intelligence Calibration and Change Record
- AML process: PRC-FCI-001 Financial Crime and Integrity
- KYC process: PRC-FCI-001 Financial Crime and Integrity
Assurance
- System existence supported by implementation memorandum: yes
- Code/configuration independently inspected: no
- Access and confidentiality independently tested: no
- Scenario, boundary and failure testing evidenced: no
- Scheduled actions independently confirmed active: no
- Overall status: current implementation recorded for review; operating effectiveness not assessed
History
- 2026-07-26: Added reciprocal procedure and control evidence relationships for Hermes handover.
- 2026-07-26: Registered Odoo automated compliance monitoring from the 25 April 2026 implementation memorandum.