5.5. The Monitored Assessments List and How to Review Alerts

Element

Explanation

A

Search bar (enter text to filter)

Here you type the parameters you wish to search in the monitored assessments (these are data you can find in the list itself, like transaction reference).

B

Contains / Equals

This lets you refine your results by choosing whether the selected column contains or equals a specific value.

C

Select Columns

This lets you choose which columns the filter should apply to.

D

Apply Filter

This button activates your selected conditions, updating the results to match the filters you’ve set.

E1
& E2

Date range

(From Date - To Date)

Here you input the date range of the assessments you are searching for.

F

Sort by

Clicking the “>” icon will open the following list, from which you can choose the parameter to sort the the monitoring list.

G

Sorted by indicator

This icon indicates the parameters the list is currently sorted according to.

H

Customize Columns

This option lets you choose which columns are visible in the main view to control exactly which information is displayed on the screen.

I

Export

Pressing this button allows will download the list of monitored assessments in a CSV format. This can be useful, for example, if your firm is undergoing an audit and wants to produce records to the auditor, or similar.

J

Monitored assessments list

This is the main section of the screen. It includes various columns, of which the following are worth noting:

Monitoring Status – shows you if monitoring is on (green “Active” icon) or off (red “Not Active” icon).

Type – what is being monitored (PEP/SAM/AM, for example).

Date Added – the date when the monitoring had been initiated.

Client Type – Indicates if the client is Individual or Corporate

Reference Key – the “name” the initiator of the assessment gives it.

Transaction Ref – the “name” the Platform gives the assessment.

KYC Profile Name – what is the KYC profile which was used for the assessment the module monitors.

KYC Profile Id - specific number assigned to KYC profile that was used during assessment.

Alerts – indicates if there are alerts that need be reviewed (red “Alerts” icon) or not (green “0 alerts” icon). For more on that, please see below under “Review alerts”.

Profiles Pending – denotes how many alerts have been reviewed, and now await action in the relevant assessment.

K

This menu opens the list of available actions you can take on the selected alert. More on those below.

Review alerts

This action allows you to access alerts about the monitored client. Pressing this button will open the below screen, in which you’ll usually be presented with several possible “matches” – meaning, alerts regarding several individuals, which the system has deemed to possibly be your client.

The “Match Score” shows you the Platform’s “opinion” as to the level of correspondence between the attributes of your client, to those of the person a specific article or other information that came up in the monitoring, refers to.

The Platform’s “opinion”, however, is not the determining factor – the final word is yours. You can press any tab in order to learn more about the data that came up in the alert and the person it relates to.

In this screen, you can view the “Incoming Versions” of matches. These matches are either updated (marked with an “Update” ribbon) or new (marked with a “New” ribbon).
Clicking on a specific match will expand to show the details of that match and information about the incoming version.

You have two options for handling these matches:

1. Review in Assessment - Click this button to navigate to the assessment screen, where you can review, accept, or reject incoming alerts. For more details, refer to section 4.6.4.2 of the manual.

2. Reject All - Click this button to reject all incoming versions. This action will reset the “Alerts” column in the Monitoring list to 0, indicating there are no pending alerts for the assessment.

Assessment

Clicking on this button will take you the relevant monitored assessment.

Disable Monitoring

Clicking on this button will open the below screen, in which you’ll be asked if you’d like to cancel the monitoring.

Closed Alerts

Here you can see the history of all the Closed and Rejected alerts for the assessment:

The “Rejected Alerts” section contains a history of actions taken on the transaction reference for rejected alerts, including notes entered upon rejecting and reopening the alerts. When you reopen alerts, the number of reopened alerts will appear under the “Alerts” column in the monitoring menu.