Turning on a compliance program covers the clients who arrive after it. The people already in your system carry no screening on file, so BrokerPlus asks you to pick one route for that back book and then works through it.
Why an Existing Book Needs a Pass
The question is asked from the compliance setup and from an import. When you bring a book in, the walkthrough for that import asks which route the clients in it should take, and the choice covers everyone on that import at once.
The Four Routes
Fully automated bulk screening is marked Recommended. Every client in the batch gets an extensive screening with no individual rating, on the assumption your agents hold AML checklists for these people elsewhere. Manually upload existing checklists takes one zip archive, up to 500MB, which our team maps to clients before confirming, usually within two business days. Manually fill checklists in-app (one client at a time) leaves everyone unrated and builds a queue you work through.
What Bulk Screening Costs
Selecting the bulk route opens Cost preview, which multiplies your client count by $1.49 and shows the total under Due now. It is billed once per client, at the extensive tier, and you can downgrade a client to standard later. The other two routes price per client by risk instead: $0.75 standard or $1.49 extensive.
Working the Rating Queue
The in-app route creates a cohort you open at Pending ratings. Each candidate shows as "Candidate 3 of 40" with their contact details, the risk rating checklist, a Note (optional) field for the compliance officer, and Save & next.
A PEP flag blocks the save
Ticking a politically exposed person flag raises PEP determination required. The save stays disabled until you capture the attestation, and a foreign PEP opens an enhanced due diligence case and takes you straight to it.
A high rating screens at the extensive tier and a lower one at standard. The rating also sets the re-screening date: one year for high, two for medium, three for low.
Stopping and Coming Back
Close returns you to compliance oversight, and anything still unrated resurfaces there. The progress pill shows two numbers: Your queue counts the deals assigned to you, and the org figure beside it counts the whole cohort. Brokers only ever rate their own; oversight users see everything.
What to Do Next
- What Your Compliance Program Covers to see what each screening tier buys.
- Complete the Risk Rating Checklist before you start the queue.
- Set Your Re-Screening Frequency to control when these clients come back around.