TABLE OF CONTENTS


Summary

Profile Rules allow you to automate the review process for individual profiles. If you've used Compliance Rules before, this will feel familiar. The key difference is the target: while Compliance Rules act on specific cases, Profile Rules act directly on the Individual and Entity profiles in your left-hand navigation.


Note: Because Profile Rules is a new feature, the available conditions are currently focused on risk levels and screening hits. More condition types will be added over time.

Available Conditions

A rule fires when its "When" condition is met. The three available conditions are:

  • Individual profile client risk level is one of: triggers whenever a client's risk level matches the value(s) you specify.
  • Ongoing monitoring hit is one of: triggers when a screening provider (e.g. ComplyAdvantage) detects a new or updated hit, such as a new Foreign PEP detection.
  • Ongoing monitoring hit reviewed is one of: triggers when a user manually completes a review of a hit in the Ongoing Monitoring tab.

Rule Outcomes

Profile Rules currently support two outcome types:

  • Assign Reviewers: automatically assign a specific team (e.g. "Compliance Admin") to review the profile.
  • Multi-Step Approval: add multiple approval steps to ensure the profile is reviewed by the right stakeholders in the right order.

How to Create a Profile Rule

  1. Navigate to the Rules configuration section and select Add profile rule.
  2. Enter a name for your rule (e.g. "Foreign PEP Reviewed").
  3. Set Related to as Individual profiles or Entity profiles.
  4. Define your When condition (e.g. "Ongoing monitoring hit is one of...").
  5. Define your Then outcome by selecting the reviewer group that needs to take action.
  6. Click Save.