Help Centre

TABLE OF CONTENTS

• Summary
• Reviewing risk assessments
  • Assigning a reviewer
• Reviewing the risk assessment
• Manually overriding risk levels
  • Overriding within the Risk Assessment tab
  • Overriding within the Case Details tab
• Related articles:

Summary

Once a risk assessment (RA) has been completed, you can assign a reviewer to check it before it's relied on. The reviewer approves or rejects the assessment. You can also manually override a calculated risk level if there's information outside the questionnaire that should be factored into the risk level.

Every review decision and manual override is recorded automatically in the case Activity log.

Related: for completing and sending a risk assessment in the first place, see [Completing and sending a risk assessment].

Reviewing risk assessments

Assigning a reviewer

1. Open the relevant case and go to the Risk Assessment tab.
2. Once the risk assessment is complete, click the assign icon next to Reviews.
3. Select the team member you want to assign as reviewer.

The assigned reviewer receives a notification to review the risk assessment.

Reviewing the risk assessment

1. Open the case and go to the Risk Assessment tab.
2. Under Reviews, read through the submitted answers. Click the comment icon next to any question to leave feedback on that specific answer.
3. Add an Overall comment summarising your review.
4. Click Submit Review.
5. Choose to approve or reject the risk assessment.

The review outcome, along with any comments, is recorded in the case Activity log.

Manually overriding risk levels

You can manually override a risk level if there's information not captured in the risk assessment questionnaire that should be factored into it. There are two places you can do this: the Risk Assessment tab, and the Case Details tab.

Tip: you can set up a notification for whenever a risk level is overridden, in Setting up notifications. Consider sending this to your AML compliance officer.

Overriding within the Risk Assessment tab

1. Open the case and go to the Risk Assessment tab.
2. In the Risk score panel, click the risk level dropdown (for example, "High risk").
3. Select the new risk level.
4. Add a comment in the Overall comment field explaining the reason for the override.
5. Click Save.

Overriding within the Case Details tab

1. Open the case and go to the Case Details tab.
2. Click Edit.
3. Update the relevant risk field (for example, Case risk assessment or Latest client risk assessment) to the new risk level.
4. Click Save.

Related articles:

• Completing and sending a risk assessment 
• Configuring forms (risk assessment + custom)
• Setting up notifications