Running a screening checks a client against sanctions, watchlist and, depending on the depth you pick, PEP and adverse media data, and pairs the result with the risk assessment FINTRAC expects you to hold before you take them on. BrokerPlus runs it through ComplyCube and keeps the report, the risk answers and the outcome on one record.
When You'd Use This
Run a screening when you take on a new client, and again whenever your rescreening cadence calls for one. Any broker or team member can start one; nothing about it is admin-only.
Starting a Screening
Open AML screening, under the Checks section of the compliance hub, and press New Screening, or launch it from a client's own profile, which pre-fills their name, email and date of birth. On the client details step, search for an existing contact or type the full name and email by hand; date of birth is optional but sharpens the match. Switching to a different contact after the checklist was pre-filled from one drops the deal link, since the screening is now about a different person.
The Risk Checklist Comes First
Before you can continue, you rate the client against BrokerPlus's inherent and mitigating factors. Applying the checklist sets the client risk rating (high, medium or low), the rescreening frequency it defaults to (a year for high, two for medium, three for low), and the check type (extensive for high, standard otherwise) - all of it stays editable afterward, and a profile that already carries a completed checklist brings those answers forward instead of asking again. If the checklist flags a foreign or domestic PEP, you're also asked for a PEP attestation: fill it in yourself, or email the client a token-gated form before the screening can submit.
While a Screening Is Running
A submitted screening sits at Processing while ComplyCube works, and the AML screening view polls it automatically every few seconds until it resolves. The first checks draw down your free credits; once those run out, each one bills at the standard or extensive rate. If the checklist auto-opened an enhanced due diligence case - a foreign PEP, a family-or-associate answer, or a high-risk domestic PEP - you're dropped straight into that case once the screening saves.
Reading the Result
Cleared means no hits: the match count reads zero, and there's nothing left to do beyond the risk rating and cadence you already set. Attention Required means the screening found something worth a look. Open it to see the full report, a category-by-category breakdown, and the individual matches with an adjustable confidence threshold. Mark the outcome Confirm Match or False Positive - you can change it later, and the checklist and PDF report both stay downloadable from the same record.
Common Gotchas
- Setting rescreening frequency to none pauses future checks entirely and asks you to confirm - keep it for a genuine one-time pull.
- Check type is fixed the moment you submit; to run the other depth on the same person, start a new screening.
- Ending a client relationship is a separate, deliberate choice from pausing rescreening.
What to Do Next
- See What Lists a Screening Checks for exactly what standard and extensive cover.
- Complete the risk rating checklist first if a screening won't let you continue.
- Handle a sanctions incident if a result comes back with a real hit.
- Check when compliance is locked if the AML tab won't open for a brokerage account.