The Alerts page is where compliance items needing your attention land. Think of it as your AML inbox.
Where To Find It
In the sidebar, go to AML Screening > Alerts.
What Surfaces There
Items that show up in Alerts include:
- A new screening that returned Attention (potential match needs review).
- A re-screening that found new info (e.g., a sanctions hit that wasn't there before).
- A PEP attestation that's expired and needs renewal.
- A flagged EDD case that needs documentation.
- An incident requiring follow-up.
Each alert has the relevant client, the type of alert, and a quick link to act on it.
Actioning An Alert
For most alerts:
- Click the alert.
- You're taken to the screening detail or client profile, depending on alert type.
- Take the relevant action (review the match, renew the attestation, document the EDD step, etc.).
- The alert clears from the page.
Some alerts require a specific resolution path:
- PEP attestation expired → renew via PEP Attestation.
- Sanctions incident → admin handles via Sanctions Incident Handling.
- EDD case → admin handles via Managing EDD Cases.
Routing And Visibility
Alerts are visible to whoever has the right role:
- Solo agents see all their own alerts.
- Brokerage agents see alerts for clients in their book.
- Brokerage admins see all alerts across the brokerage, plus admin-only alerts (sanctions incidents).
The alert routing settings (admin-only) let admins fine-tune who sees what.
Notifications Vs Alerts
- Notifications (bell icon) fire as events happen. Real-time, transient.
- Alerts (this page) accumulate. Persistent until resolved.
Many events fire both - a sanctions hit notifies you AND creates an alert.
What To Do Next
- Run a fresh screening when an alert calls for it: Running A Screening On A Client.
- Set up custom notifications: Notifications You'll Receive.