Incidents & Alerts Module

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The 'Incidents & Alerts' module shall be populated based on what rules have been invoked and required an Incident & Alert to be raised. This module (from an analogy perspective) is like a fishing net, having the ability to catch entities that have performed something which would have triggered a rule which you would have specifically created, and therefore required to be notified.

As incidents are populated in the data list / table (as shown in the above figure), the compliance user would be able to select a record which would expand the row and provide more information at the time when the incident had occurred.

Furthermore, for each incident, the compliance user may:

Select the 'Eye' icon which shall direct the compliance user to the customer profile (within the customer module).
Select the 'Escalate' icon which would ask the current user to escalate the incident to another user for their review.
Make a decision once investigations have been done on whether the incident is of 'No Risk' nature or of a 'Risk' nature.

Incident of a 'No Risk' Nature

Selecting 'No Risk' shall bring up a popup similar to the figure shown on the left. Here, the compliance user would be able to select a:

Have the ability to apply the decision to the particular incident or the list of incidents pertaining to the customer.
Risk Reason (which is a dropdown pre-populated with defined reasons provided by the MLRO at time of implementation).
Risk Comment (which is a dropdown pre-populated with defined reasons provided by the MLRO at time of implementation).
Supporting Comments which is a free text area for the compliance user to provide an added explanation if required.

Furthermore, a web hook action may also be called - which is explained in more detail in the 'Outcome of a Triggered Rule' of this user manual under the 'Push Data to 3rd Party Solution' section.

Incident of a 'Risk' Nature

Selecting 'Risk' shall bring up a popup similar to the figure shown on the left. Here, the compliance user would be able to select a:

Have the ability to apply the decision to the particular incident or the list of incidents pertaining to the customer.
Risk Severity which is a dropdown asking the user to state the risk associated with the incidents or list of incidents.
Risk Reason which is a dropdown pre-populated with defined reasons provided by the MLRO at time of implementation.
Risk Comment which is a dropdown pre-populated with defined reasons provided by the MLRO at time of implementation.
Supporting Comments which is a free text area for the compliance user to provide an added explanation if required.

Furthermore, a web hook action may also be called - which is explained in more detail in the 'Outcome of a Triggered Rule' of this user manual under the 'Push Data to 3rd Party Solution' section.

To better understand how the 'Risk Reason' and 'Risk Comment' are to be configured, please visit the 'Incident Template Configuration' page.

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