TABLE OF CONTENTS


Summary

The alerts dashboard is your central location for managing key compliance alerts in the platform. It helps ensure you never miss an alert - such as re-verifying a client due to an expired ID or an upcoming CDD refresh.


What is the alerts dashboard?

The Alerts Dashboard surfaces actionable items based on system rules and alert configurations. It gives your compliance and operations team visibility into tasks that require follow-up to stay aligned with AML obligations.


You can access the Alerts Dashboard directly from the homepage if you have the appropriate permissions. Alerts are visible to all users with access to the homepage, including Compliance Administrators, Approvers, and Members. Ongoing Monitoring alerts are an exception. By default you only see the ones assigned to you. Compliance Office Admins see all Ongoing Monitoring alerts for their offices, and Compliance Admins see all of them. See the Ongoing monitoring alerts section below.


Current alerts types

1. ID Document expiry alerts

These alerts notify you when an identification document is:

  • Already expired

  • Due to expire within the next 12 months (with a visual pill warning in the case manifest)

What you can do from the Alerts Dashboard:

  • View all individuals with upcoming or expired ID documents

  • Click through to the relevant case or individual

  • Update the document or request new ID from the client

 More on ID expiry alerts


2. Ongoing Monitoring Alerts

Ongoing monitoring checks your active profiles against sanctions, PEP, and watchlist sources every day. When new screening hits are found, an ongoing monitoring alert appears so you can review the new hits.


Where they appear:

  • On the Alerts page, showing the profile name, number of hits to review, risk level, status, and assigned user


Who sees them:

  • You see the alerts assigned to you. Compliance Office Admins see all alerts for their offices, and Compliance Admins see all alerts


What you can do:

  • Select Review hits to open the profile's Ongoing Monitoring page and set each hit's match status
  • Each profile has one alert at a time. New hits for the same profile are added to the open alert instead of creating a new one
  • The alert stays open until all hits have been reviewed, then it clears automatically


Ongoing monitoring alerts can't be dismissed. They clear automatically once all hits have been reviewed.

More on Ongoing Monitoring alerts



3. CDD Refresh
These alerts notify you, depending on the level of risk (E.g. medium or high) that a refresher is needed for a previously verified cases.

What you can do:

  • Click the alert to open the case

  • Create a new case for the re-verification process

  • Once the individual or entity is marked as PASS, the cadence resets and the alert disappears

  • If marked as FAIL, the alert is removed, and that subject is excluded from future OCDD reminders

  • The alert can also be dimissed if not needed



4. Delayed CDD

These alerts is to notify verification can be completed after exchange, but no later than the earlier of 28 days post-exchange or 3 days before settlement.



More on OCDD Refresh


Dismissing Alerts

You can dismiss alerts directly from the Alerts Dashboard if they are no longer required to be actioned. This doesn't apply to ongoing monitoring alerts. They can't be dismissed and clear automatically once all hits have been reviewed.

When dismissing an alert, you must select a dismissal reason before submitting. This ensures there is a clear record of why the alert was closed.

Once an alert has been dismissed, the selected reason is automatically recorded in the client’s profile under the Activity Log, where it can be reviewed by your team at any time.

This helps maintain transparency and an audit trail for all alert decisions.




Tips

  • Use the filter and sort tools to prioritise the most urgent items

  • Clear alerts promptly to keep your dashboard focused and up to date