Every compliance alert BrokerPlus raises still lands on the Alerts page no matter what you do here - alert routing only decides who also gets an email, and for which severity. This matrix on Brokerage → Compliance is where you set that up, and it saves as you go.
When You'd Use This
Set this up once your program is live, and revisit it whenever your officers or reviewers change - the defaults are broad on purpose and can go stale as the people on those lists turn over. Anyone who administers the compliance program from Brokerage → Compliance can adjust it.
The Three Severities
Alerts come in three levels, each shown at the top of its own column with a plain-language sub-label. Urgent covers sanctions matches and other critical findings. Attention covers everything non-critical. Informational covers low-confidence findings - surfaced with enough uncertainty that they're worth a look but not a page.
Routing to Officers and Reviewers
Two rows sit above the individual people: compliance officers and compliance reviewers, each shown with a live count so you can see how many people a switch actually reaches before you flip it. Officers means whoever you've designated on the officers list. Reviewers here means specifically people holding the Compliance role, not every admin - the two are kept apart on purpose, so promoting someone to admin doesn't quietly add them to every alert. An admin who wants alerts designates themself an officer, or gets added by name below.
Out of the box, officers are emailed on Urgent and Attention and skipped on Informational; reviewers are emailed on Urgent only. Nothing changes until you toggle a switch.
Adding a Named Person
Below the two groups, search for a teammate by name or email to route alerts to someone regardless of role - a broker whose own file triggered the alert, or whoever's covering while an officer is away. Adding someone through search switches them onto Urgent by default; adjust their other severities from their row, or remove them from the list entirely.
Changes Save on Their Own
There's no Save button. Every switch writes back on its own - quick changes in succession batch into a single request - and a Saving / Saved indicator in the header confirms it landed. If a save fails, a banner says so, and your next change retries it.
Common Gotchas
- Turning every switch off for a severity doesn't silence it. The alert still posts to the Alerts page; it just means nobody's paged by email, and it sits there for whoever checks next.
- The reviewer count only includes people with the Compliance role. Admins aren't counted or emailed unless you add them by name.
- Removing someone from the brokerage drops them from every severity they were routed to. There's nothing left to clean up by hand.
What to Do Next
- Appoint Your Compliance Officers - officers are one of the two groups this routes to.
- Assign Compliance Reviewers - reviewers are the other.
- Work the Compliance Alerts Page to see what shows up regardless of routing.
- Add Your Own Compliance Requirement so there's something new to route alerts about.