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ComplianceWork the Compliance Alerts Page

Work the Compliance Alerts Page

Triage the matches that periodic re-screenings surface, and clear the ones that need nothing.

  • Owner/Admin
  • Compliance Officer
Open Compliance Hub in BrokerPlus

The Alerts page is where new matches from periodic re-screening land: a client who's picked up a sanctions hit, an adverse-media keyword, or a repeat finding since the last time they were checked. It's a queue you work, not a per-client tab you have to remember to visit.

When You'd Use This

Check it whenever a re-screening finds something new on a client you already screened and cleared once. Each row is one candidate and one finding waiting on a decision - either something that needs escalating, or a false alarm you can dismiss.

What Reaches This Page

Each row is a candidate, an alert type (a new match surfaced, or monitoring paused), a severity - urgent for the ones worth acting on first, normal or low otherwise - and how long ago it last occurred. If the same finding on the same client shows up again within a week, it bumps the existing alert's occurrence count and last-seen time instead of filing a new one, so a noisy match doesn't flood the queue. An urgent alert is marked in red with its own label.

Opening the Screening Behind It

Open any row and a detail panel gives you the candidate's name (linked to their contact record), a plain-language description of the finding, first-seen and last-seen timestamps, and the client's email and phone if you have them on file. A PEP chip appears if the candidate is a politically exposed person. When the alert is tied to a specific screening, a View screening link takes you straight to it on the compliance hub.

Dismissing an Alert, and Why It Comes Back

An open alert can be dismissed right from the panel: select Dismiss alert, optionally note why, and confirm. That records who dismissed it and when, and moves it out of the Open tab - you can't dismiss the same alert twice. Dismissing doesn't turn off re-screening, though. If a genuinely new finding shows up later - a different type of match, or the same one again once the week-long window has passed - it opens as a fresh alert rather than reopening the one you closed. It also doesn't touch anything else on the file; a sanctions freeze or an EDD case tied to the same finding is worked separately.

What To Watch Out For

  • Filters are Open, Dismissed, and All - there's no way to filter by severity from this page, only to see it on each row.
  • Dismissing an alert says nothing about the underlying risk being resolved. If the match points to a real sanctions hit, that's a sanctions incident, not something you clear from here.
  • The description you read here is written at the time the alert was filed; if you re-screen the client and clear the same finding elsewhere, this page won't retroactively update the wording.

What to Do Next

Keeps track of what you have already been through.

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