AML & KYC Compliance Software for Investment Managers
Automate investor onboarding KYC, ongoing AML surveillance, and MiFID II / FCA / SEC regulatory reporting on a single platform. Built for asset managers handling complex investor structures, HNW portfolios, and cross-border mandates.
Investor Onboarding and AML at Portfolio Scale
Investment managers face mounting pressure — MiFID II product governance obligations, FCA MLR 2017 customer due diligence, SEC/FINRA expectations for US-facing mandates, and AIFMD requirements for alternative strategies. Every new subscriber must be KYC'd, risk-rated, and ongoing-monitored. Manual processes cost days per investor and produce inconsistent audit trails.
Investor Onboarding Bottleneck
Each new subscription requires document collection, ID verification, PEP screening, source-of-funds review, and risk classification. Manually this takes 5–10 business days — capital sits waiting, investor experience suffers.
Regulatory Reporting Burden
MiFID II transaction reporting (RTS 22), FCA SUP 17, SEC Form ADV, and AIFMD Annex IV submissions — each requires different data structures, different cadences, and zero-tolerance accuracy.
Complex Investor Structures
Family offices, SPVs, nominee structures, trusts, corporate investors with multi-layer UBO chains — standard KYC flows cannot handle this complexity without manual workarounds that break audit trails.
Built for the Realities of Investment Management
One Constellation streamlines every stage of the investor lifecycle — subscription KYC, ongoing monitoring, regulatory reporting, and case management — with workflows designed specifically for asset managers.
HNW & Retail Investor KYC
Individual investor verification with biometric ID, Singpass, document authentication, and PEP/sanctions screening — completed in under 2 minutes for low-risk investors, EDD workflow auto-triggered for complex cases.
Institutional Investor KYB
Corporate, SPV, trust, and fund-of-fund structures mapped end-to-end. UBO identification to 25% threshold (or lower), director screening, and corporate registry lookups across 60+ jurisdictions.
Enhanced Due Diligence Workflow
Automated EDD triggers for PEPs, high-risk geographies, and HNW thresholds. Source-of-wealth evidence management, senior approval routing, and immutable decision records.
Regulatory Reporting Engine
MiFID II RTS 22, FCA SUP 17.4, SEC Form PF, AIFMD Annex IV — pre-built templates generated from underlying investor and transaction data. No double-keying, no reconciliation.
Continuous PEP & Sanctions
OFAC, UN, EU, HMT, and 200+ watchlists screened against every investor daily. Adverse media monitoring across 50K+ sources. Alerts routed to compliance case management.
Investor-Level Audit Trail
Every document, screening result, risk rating, and compliance decision logged per investor per fund. Regulator inspections become a file export, not a 3-week project.
Investment Management Regulations, Fully Covered
Pre-built policy libraries and reporting templates for the regulators that matter to asset managers operating globally.
Every Investment Strategy, Every Client Type
Long-Only Equity / Fixed Income
Bulk investor onboarding API for fund subscriptions, MiFID II transaction reporting, portfolio-level AML monitoring.
Hedge Funds & Alternatives
AIFMD Annex IV reporting, complex investor structure KYB, side-letter tracking, capital call compliance.
Institutional Mandates
Corporate KYB for pension funds, insurance companies, sovereign wealth funds — full UBO chains, multi-jurisdiction approval.
Private Client & HNW
EDD workflows with source-of-wealth documentation, PEP screening, ongoing adverse media monitoring.
Investment Manager Compliance FAQ
Modern AML for Modern Investment Managers
See how investment firms use One Constellation to accelerate onboarding, automate reporting, and stay regulator-ready.