Transaction Monitoring
TM-04Assign every alert within one business day and review it within two
How Leela would run itEvent-driven · each alert: assigned within 1 business day, initial review within 2 business days of assignment
From the policy libraryThe requirement
Every alert is logged in the case management system the day it is detected and assigned to an investigator within one business day of generation. Within two business days of assignment the investigator either closes it with a written reason, limited to a known exception, an obvious business explanation, or a technical error, or opens a full investigation case. No alert is closed without written justification, and alerts past their clock are aged and reported.
- Applies
- Tell Leela about your company to see whether this applies.
- Status
- Setup needed
Tell Leela how you handle it today, or hand it over: see what’s next.
The work
Log the alert, assign it, complete the initial review on the clock, record the resolution reason or open the case, and escalate anything that has aged past its clock.
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Alert recordGenerated, assigned, and reviewed timestamps with investigator and outcome
- 02Closure justificationWritten reason under one of the three permitted grounds
- 03Alert aging reportOpen alerts by age against the assignment and review clocks
Evidence
Alert record
Transaction Monitoring §5.1, §5.2, §5.3
3
of 3 records
The work and the records come from this obligation in the policy library.