Review Workflow
Written by Michelle Henley
Updated at September 16th, 2024
Table of Contents
The Transactions Inbox displays all transactions that meet the thresholds set by your administrator (see Risk Score Threshold and AI Confidence Score). By default, all transactions start with an “Unassigned” status.
Once a user has determined that a transaction needs further review and clicks Create Review, the transaction will enter the Review Workflow, and the system will:
- Change the inbox status to Assigned;
- Assign a Review ID to the review (e.g., TRX-001-123); and
- Change the Review status to In Review.
How to Locate Assigned Transactions
Click on Compliance Monitoring from the left navigation menu or the corresponding tile.
All Reviews assigned to you will be located under the Reviews tab, then Assigned to Me
To open a Review, click the Review ID in the first column.
Monitoring Review
After clicking the Review ID, the system will open the Monitoring Review page, which defaults to the Transactions tab. Please take a look below for more information on the different tabs.
Transactions
There are two additional tabs within the Transactions tab. One for Transaction and the other for Risk Analysis.
Transaction Tab
Risk Analysis Tab
Follow Up & Remediation Tasks
Follow Up & Remediation Tasks
Creating and Assigning Tasks within a Monitoring Review
To create a task associated with a specific review, you must first open the Monitoring Review that you wish to link to the task. Then, click on the Tasks tab.
In the Tasks tab, click Add Task.
The Add Task modal will open.
First, enter a Title. Next, choose a Category, then select the Type and continue to fill out the remaining questions.
If the Task Assigner and Assignee are the same person, the details field will change to an Assignee Response field. However, if the Task Assigner differs from the Assignee, the details field will be called Details.
When creating a task, users can add attachments by clicking the Add File(s) button. Multiple files can be uploaded for a single task.
Note: Executable files or files larger than 50 megabytes cannot be uploaded.
Uploaded files can be deleted before and after submission of the task by clicking on the Trash Can Icon next to the file that you want to delete and then confirming your action by clicking Yes.
Consulted Employee is optional, but to select a party, begin typing in the Consulted Employee field and choose from the drop-down list.
Note: The dropdown list of Consulted Employees is populated from Master Data → Individuals → Employees.
Both the assignor and assignee have the option to add Tags in the freeform text field. Tags will be saved in the drop-down menu for future use.
If the user is assigning the task to themselves, there is the option to Cancel, Save as Draft, Assign Task, or Complete.
However, if the user assigns the task to someone else, there is the option to Cancel, Save it as a Draft, or Assign Task.
Once Assign Task is clicked, the system will:
- Submit the task for review.
- Send an email to the assignee.
- Change the task status to In Progress.
- The task will be displayed along with any previously assigned tasks in the Task tab.
General Task Instructions
Task History & Version Comparison
Task History
To view the task history, open the task and click the History tab located at the top of the task.
When a task is created, assigned, updated, reassigned, canceled, or completed, the action is recorded in the history.
Task Version Comparison
Task Version Comparison allows users to view and compare historical changes within a task.
Note: The task Version Comparison tool is available to the Assignee, Assignor, or Task Admin.
A check box is displayed to the left of each action listed in the Task History.
In order to compare versions, the user must select two checkboxes. Then, click Compare.
From there, the Task Revision Comparison page will open in a new tab.
Using the Key in the right-hand upper corner, the user can determine which task fields were removed, added, or unchanged.
Searching for a Task
You can locate tasks assigned to you or assigned to others by you by clicking on Tasks from the left navigation menu.
From the Tasks page, there is a tab for My Tasks, My Tasks for Others, and View All Tasks.
Note: The View All Tasks tab is only displayed if a user has the View All System Tasks and/or Edit System Tasks privilege(s).
Tasks associated with a Request ID can be found within the request details in the Tasks tab.
How to Update or Reopen a Task
Who can update Tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
Note: Updating a completed or canceled task reopens the task and moves the status back to In Progress.
To update the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Once changes are made, click Save to save the changes. Note: Selecting Cancel, will cancel your changes, Clear Changes will remove any changes, and selecting Complete will mark the task as Complete.
- If the task is updated by the Assignor, an email will be sent to the Assignee to let them know the task has been updated.
- If the task is updated by a Task Admin, an email will be sent to both the Assignee and the Assignor to let them know the task has been updated.
How to Cancel a Task
Who can cancel tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
Note: To cancel a completed task, an assignor or task admin must first update the task to move it back to In Progress and then cancel it.
Open the task you wish to cancel. In the top right corner of the task, click the Oval Icon with three dots and select Cancel.
- If the task is cancelled by the Assignor, an email will be sent to the Assignee to let them know the task has been cancelled.
- If the task is cancelled by a Task Admin, an email will be sent to both the Assignee and the Assignor to let them know the task has been cancelled.
Reassigning a Task
Who can reassign a task to a new assignee?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
To reassign the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Update the Assignee field and click Save.
- An email will be sent to both the old and new assignee to inform the user that the task has been reassigned.
Add Files
Add Files Tab
The Add Files tab allows anyone with access to a request to easily upload files to a request.
Once a request has been submitted, users can access Add Files by clicking on the tab.
Note: All users who have access to the request can access the Add Files tab and upload files. This includes the submitter, approver(s), collaborator(s), and any admin with the View All Requests privilege.
To add a file, click Add File(s).
One or more files can be added and the user will have the option to add comments.
Note: Any added comments are displayed in the Request History, not the Add Files Tab.
Note: Executable files or files larger than 50 megabytes cannot be uploaded.
Prior to uploading the files, they can be deleted by clicking on the Trash Can Icon next to the file that you want to delete and then confirming your action by clicking Yes.
After clicking Confirm, uploaded files can only be deleted by the user who uploaded the files or a Request Admin. To delete a file after uploading it, click the Red Circle on the right. Click Confirm.
To download a file, click the Name.
Added or removed files will be noted in the Request History along with the name of the person who made the change. Any comments that were added are also displayed in the Request History.
The added or removed files are also displayed in Request Version Comparison.
Workflow
After the transaction details have been reviewed, the following actions are possible:
To cancel the review, click on Take Action in the top right corner and select Cancel from the dropdown list.
The user is required to leave comments and then click Confirm.
By clicking Confirm in the Cancel Review modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Review to Canceled
If the reviewer has determined that there is no issue after reviewing the details, click on Take Action in the top right corner and select No Issue from the dropdown list.
The user has the option to leave comments and then click Confirm.
By clicking Confirm in the No Issue modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Review to Completed
If the reviewer has found that the transaction is an issue but no further remediation is needed, click Take Action in the top right corner and select Issue: No Remediation from the dropdown list.
The user has the option to leave comments and then click Confirm.
By clicking Confirm in the Issue: No Remediation modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Review to Completed
If the reviewer has found that the transaction requires further remediation, click Take Action in the top right corner and select Issue: Remediation from the dropdown list.
The user has the option to leave comments and then click Confirm.
By clicking Confirm in the Issue: Remediation modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Review to In Remediation
Remediation
Once a Review has been moved into Remediation, the following actions are possible:
To cancel the remediation, click on Take Action in the top right corner and select Cancel from the dropdown list.
The user is required to leave comments and then click Confirm.
By clicking Confirm in the Cancel Review modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Review to Canceled
Follow Up & Remediation Tasks
Creating and Assigning Tasks within a Monitoring Review
To create a task associated with a specific review, you must first open the Monitoring Review that you wish to link to the task. Then, click on the Tasks tab.
In the Tasks tab, click Add Task.
The Add Task modal will open.
First, enter a Title. Next, choose a Category, then select the Type and continue to fill out the remaining questions.
If the Task Assigner and Assignee are the same person, the details field will change to an Assignee Response field. However, if the Task Assigner differs from the Assignee, the details field will be called Details.
When creating a task, users can add attachments by clicking the Add File(s) button. Multiple files can be uploaded for a single task.
Note: Executable files or files larger than 50 megabytes cannot be uploaded.
Uploaded files can be deleted before and after submission of the task by clicking on the Trash Can Icon next to the file that you want to delete and then confirming your action by clicking Yes.
Consulted Employee is optional, but to select a party, begin typing in the Consulted Employee field and choose from the drop-down list.
Note: The dropdown list of Consulted Employees is populated from Master Data → Individuals → Employees.
Both the assignor and assignee have the option to add Tags in the freeform text field. Tags will be saved in the drop-down menu for future use.
If the user is assigning the task to themselves, there is the option to Cancel, Save as Draft, Assign Task, or Complete.
However, if the user assigns the task to someone else, there is the option to Cancel, Save it as a Draft, or Assign Task.
Once Assign Task is clicked, the system will:
- Submit the task for review.
- Send an email to the assignee.
- Change the task status to In Progress.
- The task will be displayed along with any previously assigned tasks in the Task tab.
General Task Instructions
Task History & Version Comparison
Task History
To view the task history, open the task and click the History tab located at the top of the task.
When a task is created, assigned, updated, reassigned, canceled, or completed, the action is recorded in the history.
Task Version Comparison
Task Version Comparison allows users to view and compare historical changes within a task.
Note: The task Version Comparison tool is available to the Assignee, Assignor, or Task Admin.
A check box is displayed to the left of each action listed in the Task History.
In order to compare versions, the user must select two checkboxes. Then, click Compare.
From there, the Task Revision Comparison page will open in a new tab.
Using the Key in the right-hand upper corner, the user can determine which task fields were removed, added, or unchanged.
Searching for a Task
You can locate tasks assigned to you or assigned to others by you by clicking on Tasks from the left navigation menu.
From the Tasks page, there is a tab for My Tasks, My Tasks for Others, and View All Tasks.
Note: The View All Tasks tab is only displayed if a user has the View All System Tasks and/or Edit System Tasks privilege(s).
Tasks associated with a Request ID can be found within the request details in the Tasks tab.
How to Update or Reopen a Task
Who can update Tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
Note: Updating a completed or canceled task reopens the task and moves the status back to In Progress.
To update the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Once changes are made, click Save to save the changes. Note: Selecting Cancel, will cancel your changes, Clear Changes will remove any changes, and selecting Complete will mark the task as Complete.
- If the task is updated by the Assignor, an email will be sent to the Assignee to let them know the task has been updated.
- If the task is updated by a Task Admin, an email will be sent to both the Assignee and the Assignor to let them know the task has been updated.
How to Cancel a Task
Who can cancel tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
Note: To cancel a completed task, an assignor or task admin must first update the task to move it back to In Progress and then cancel it.
Open the task you wish to cancel. In the top right corner of the task, click the Oval Icon with three dots and select Cancel.
- If the task is cancelled by the Assignor, an email will be sent to the Assignee to let them know the task has been cancelled.
- If the task is cancelled by a Task Admin, an email will be sent to both the Assignee and the Assignor to let them know the task has been cancelled.
Reassigning a Task
Who can reassign a task to a new assignee?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
To reassign the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Update the Assignee field and click Save.
- An email will be sent to both the old and new assignee to inform the user that the task has been reassigned.
Follow Up & Remediation Tasks
Creating and Assigning Tasks within a Monitoring Review
To create a task associated with a specific review, you must first open the Monitoring Review that you wish to link to the task. Then, click on the Tasks tab.
In the Tasks tab, click Add Task.
The Add Task modal will open.
First, enter a Title. Next, choose a Category, then select the Type and continue to fill out the remaining questions.
If the Task Assigner and Assignee are the same person, the details field will change to an Assignee Response field. However, if the Task Assigner differs from the Assignee, the details field will be called Details.
When creating a task, users can add attachments by clicking the Add File(s) button. Multiple files can be uploaded for a single task.
Note: Executable files or files larger than 50 megabytes cannot be uploaded.
Uploaded files can be deleted before and after submission of the task by clicking on the Trash Can Icon next to the file that you want to delete and then confirming your action by clicking Yes.
Consulted Employee is optional, but to select a party, begin typing in the Consulted Employee field and choose from the drop-down list.
Note: The dropdown list of Consulted Employees is populated from Master Data → Individuals → Employees.
Both the assignor and assignee have the option to add Tags in the freeform text field. Tags will be saved in the drop-down menu for future use.
If the user is assigning the task to themselves, there is the option to Cancel, Save as Draft, Assign Task, or Complete.
However, if the user assigns the task to someone else, there is the option to Cancel, Save it as a Draft, or Assign Task.
Once Assign Task is clicked, the system will:
- Submit the task for review.
- Send an email to the assignee.
- Change the task status to In Progress.
- The task will be displayed along with any previously assigned tasks in the Task tab.
General Task Instructions
Task History & Version Comparison
Task History
To view the task history, open the task and click the History tab located at the top of the task.
When a task is created, assigned, updated, reassigned, canceled, or completed, the action is recorded in the history.
Task Version Comparison
Task Version Comparison allows users to view and compare historical changes within a task.
Note: The task Version Comparison tool is available to the Assignee, Assignor, or Task Admin.
A check box is displayed to the left of each action listed in the Task History.
In order to compare versions, the user must select two checkboxes. Then, click Compare.
From there, the Task Revision Comparison page will open in a new tab.
Using the Key in the right-hand upper corner, the user can determine which task fields were removed, added, or unchanged.
Searching for a Task
You can locate tasks assigned to you or assigned to others by you by clicking on Tasks from the left navigation menu.
From the Tasks page, there is a tab for My Tasks, My Tasks for Others, and View All Tasks.
Note: The View All Tasks tab is only displayed if a user has the View All System Tasks and/or Edit System Tasks privilege(s).
Tasks associated with a Request ID can be found within the request details in the Tasks tab.
How to Update or Reopen a Task
Who can update Tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
Note: Updating a completed or canceled task reopens the task and moves the status back to In Progress.
To update the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Once changes are made, click Save to save the changes. Note: Selecting Cancel, will cancel your changes, Clear Changes will remove any changes, and selecting Complete will mark the task as Complete.
- If the task is updated by the Assignor, an email will be sent to the Assignee to let them know the task has been updated.
- If the task is updated by a Task Admin, an email will be sent to both the Assignee and the Assignor to let them know the task has been updated.
How to Cancel a Task
Who can cancel tasks?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
Note: To cancel a completed task, an assignor or task admin must first update the task to move it back to In Progress and then cancel it.
Open the task you wish to cancel. In the top right corner of the task, click the Oval Icon with three dots and select Cancel.
- If the task is cancelled by the Assignor, an email will be sent to the Assignee to let them know the task has been cancelled.
- If the task is cancelled by a Task Admin, an email will be sent to both the Assignee and the Assignor to let them know the task has been cancelled.
Reassigning a Task
Who can reassign a task to a new assignee?
| Status | Assignee | Assignor | Task Admin |
|---|---|---|---|
| In Progress | X | ✔ | ✔ |
| Completed | X | ✔ | ✔ |
| Canceled | X | ✔ | ✔ |
To reassign the task, click the Oval Icon in the top right-hand corner and select Update from the dropdown list.
Update the Assignee field and click Save.
- An email will be sent to both the old and new assignee to inform the user that the task has been reassigned.
To cancel the remediation, click on Take Action in the top right corner and select Issue: Remediation Complete from the dropdown list.
The user has the option to leave comments and then click Confirm.
By clicking Confirm in the Remediation Complete modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Remediation to Remediation Ready for Review
Back to Review
Once Remediation has been completed, the workflow returns to a Review status. From there, the following actions are possible:
To cancel the review, click on Take Action in the top right corner and select Cancel from the dropdown list.
The user is required to leave comments and then click Confirm.
By clicking Confirm in the Cancel Review modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Review to Canceled
To reopen remediation, click on Take Action in the top right corner and select Reopen Remediation from the dropdown list.
The user has the option to leave comments and then click Confirm.
By clicking Confirm in the Reopen Remediation modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from Remediation Ready for Review to In Remediation.
To complete the review, click on Take Action in the top right corner and select Complete from the dropdown list.
The user is required to leave comments and then click Confirm.
By clicking Confirm in the Complete Review modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from Remediation Ready for Review to Complete.
Reopening a Completed Review
Any completed review can be canceled or reopened for further investigation.
To cancel the review, click on Take Action in the top right corner and select Cancel from the dropdown list.
The user is required to leave comments and then click Confirm.
By clicking Confirm in the Cancel Review modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from In Review to Canceled
To reopen the review, click on Take Action in the top right corner and select In Review from the dropdown list.
The user has the option to leave comments and then click Confirm.
By clicking Confirm in the In Review modal, the system will:
- Add the reviewer's comments to the Review History
- Change the status from Complete to In Review.