Overview
While most fields on a Screening Alert record are designed to display results retrieved directly from watchlists, a dedicated section labeled "Audit Section" is located at the bottom of the record. These additional fields serve a distinct purpose: they provide users with the ability to add notes, context, and rationale for decisions made during the review process.
Benefits:
- Provides clear documentation for compliance audits.
- Enhances transparency and traceability of decision-making.
- Allows users to add context, making screening records more actionable and defensible.
- Supports faster and more efficient auditor reviews.
How to Audit Screening Alerts
After receiving screening alerts, the next step is to review and validate them. In the 'Audit Section' of the record, you can mark alerts as 'Not Audit', 'Valid Sanction', or 'False Positive' and add comments to document your decisions.
1. On the 'Related' tab, open a record by clicking on 'Screening Alert Name' to view an alert or 'View All' to list all alerts.
2. On the 'Details' alert, you can view all results, including the confidence score, the data source, which indicates the name of the sanctions list or watchlist where the record appears, and the source list with a link to the list that triggered the screening alert.
3. Once you have reviewed the information, you can determine its validity. Scroll down to 'Audit Section' and click 'Edit'.
4. Select an option from the 'Compliance Audited' dropdown menu to flag the alert, document your decision in the 'Audit Comments' field, and save it.
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The 'Auditor' and 'Audit Time' fields will automatically update after you save your audit and will be visible to all users reviewing this record.
We're here to help!
If you have any questions or require further assistance, please don't hesitate to reach out to our support team.
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Chat: Available directly in the portal
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Email: help@sanctions.io