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 compliance roles, Office Admins, Team Admins, Team Members, Office Assistants, Auditors and Read-Only users. Users whose role is linked to specific offices only see alerts for those offices.


Other roles, such as Author, Auditor, Read-Only, and Agent/Frontline, do not have access to the Alerts Dashboard.


Use the filter and sort tools at the top of the table to prioritise the most urgent items. 




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, the checklist view of a case showing all requirements, their statuses, and what's still outstanding). 

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 tell you when a client is due for re-verification, based on the review period for their risk level.


Where they appear: on the CDD refresh tab of the Alerts page. Each row shows the profile, due date, risk level, office and who it's Assigned to.


What you can do:

  • Click Create case to start a CDD refresh case.
  • From the row menu, choose Set due date or Skip this review.
  • Select several alerts to Set due dates, Skip reviews or Assign them in bulk.
  • Filter by Assigned user to see alerts assigned to you, to a colleague, or that are unassigned.


The alert closes when the root individual or entity is passed in the CDD refresh case. Normal cases don't close it.

More on CDD refresh alerts and Managing CDD refresh due dates.



4. Delayed CDD (AU Real Estate buyer cases only) 

This alert type only applies to Australian real estate Buyer's Agent clients. If this doesn't describe your organisation, you won't see this alert type and can skip this section.


Under Tranche 2 AML rules for Australian real estate, buyer verification can be completed after contract exchange, but must be finished no later than the earlier of 28 days post-exchange or 3 days before settlement. This alert notifies you when a buyer case is approaching or has passed that deadline, so verification isn't missed before settlement.


More on CDD Refresh Alerts.



Dismissing Alerts

You can dismiss ID document expiry alerts from the Alerts page if they no longer need to be actioned. When you dismiss an alert, you can add a dismissal reason. Any reason you add is recorded in the profile's activity log.


Two alert types can't be dismissed:

  • Ongoing monitoring alerts clear automatically once all hits have been reviewed.
  • CDD refresh alerts can be skipped instead. Skip this review moves the due date forward by one review period and closes the alert. See Managing CDD refresh due dates.