WatchList Alert

Users scan the customer data via File Scan or customer dbscan in the screening Management. The screening results are loaded into WatchList Alert database for review. This function is used to search watchlist alerts and make decisions on them.

Click the WatchList Alert in the left navigation menu under Case Management, a new WatchList Alert Tab folder will be created in the right panel. There are 3 sub-Tab folders: Search WatchList Alert, Search Result WatchList Alert and Create New WatchList Alert.

Watchlist alert search screen

Search WatchList Alert

Search Criteria

Field Name Description
WLAlert Id This is the unique number for the watch list alert entry in the system.
Customer Id Used only when use customer dbscan.
CreatedByDate Date and Time when this entry is created
CreatedByUser User who create this entry.
OrgUnit Code select values from the dropdown list.
Status Code select values from the dropdown list.
Assigned By select values from the dropdown list.
Assigned To select values from the dropdown list.
Assigned To select values from the dropdown list.
Group  
AND Select AND radio box if you want those criteria add together.
OR Select OR radio box if you want to get the result if either of the criteria is met.

Functional buttons

  • Find: – click the Find button to search.
  • Clear:– click the Clear button to clear all the criteria.

Search Result WatchList Alert

WatchList Alert search result screen

The top part is the table which shows the list of the watch list alerts that meet the search criteria. The bottom part is the details, Hits, Customers, Documents, Emails, and Audit Logs of the selected entry.

WatchList Alert search result screen with Hit Info

Each alert has one to many hits. A hit is created when the name or alias of the sanction list match all or part of the customer name. The Hit detail screen shows all the information from the sanction list.

WatchList Alert search result screen with audit log Info

Alert Audit Log with action name, action reason, from status, to status, comment, action by, and action date.

Update/Delete WatchList Alert

Double Click the selected record in the table to modify this entry. A new tab folder “Update/Delete WatchList Alert” will be added, as shown below.

WatchList Alert update/delete screen

Functional buttons

  • Action Dropdown list: – depends on the current alert status and user’s permission. It will show a list of action the user is allowed to perform. Select one of the action from the dropdown list. Typically, Users can add a comment, add a document, remove a document, assign to person/group, close it (Not a match, or true match), escalated to Compliance officer, etc. Those actions are configured via workflow. Please see Workflow section for details.
  • Action Reason Dropdown list :– Select one of the action reasons from the dropdown list.
  • Comments:– A free text box to allows users to input the comments of this action. Comments will show in the action logs.
  • Submit:– Perform this action, the pop down will show, indicating success or failure. Depending on the action performed, it may change the action status. It will stay on this page to allow users to perform another actions.
  • Reset:– Reset the data to its initial value and discard all the changes.
  • Close:– Cancel this change(if any) and close this page and switch back to “Search result WLA alert” Tab.

Create New WatchList Alert

Select the “Create New WatchList Alert” Tab to create a new entry.

Watchlist alert create new screen

Note

Normally Watchlist alerts are created by File Scan or Customer DBScan.

Field Name Description
WLAlert Id This is the unique number for the watch list alert entry in the system.
Scanned Data The data that is scanned by the screening engine.
Customer Id Used only when customer dbscan is used.
OrgUnit Code Select values from the dropdown list.
Assigned By Select values from the dropdown list.
Assigned To Select values from the dropdown list.
Assigned To Select values from the dropdown list.
Group  
Action Reason Select from the dropdown list
Alert Comments A free text area to allow users to add comments.

Functional buttons

  • Create: – Click the Create button to create a watch list alert and switch to “Search result WatchList Alert” Tab.
  • Clear:– Click the Clear button to clear all the fields
  • Cancel:– Click the Cancel button to cancel operation and switch back to “Search result watchlist alert” Tab.