## Summary

Learn how to use the Escalations feature to alert a Compliance Officer about a high-risk or suspicious client for further review. 

## When to Use This

Client-facing staff should use this feature when they interact with a client who appears suspicious or is identified as high risk and requires a Compliance Officer's expertise to proceed.

## Step-by-Step Instructions


1. Locate the **Escalations** section within the client's onboarding profile.
2. Select a specific trigger for the escalation from the provided dropdown list.
3. Add any relevant granular details or notes explaining why the client is being escalated.
4. Attach any supporting documents that may assist the Compliance Officer.
5. Submit the escalation.
6. The Compliance Officer will be alerted via email to review the submitted information, and choose to either investigate further or resolve the escalation based on a risk-based approach.

## Common Questions

**Who reviews the escalated clients?**
A designated Compliance Officer receives an alert and reviews the onboarding and transaction details of the escalated client.

**What actions can a compliance officer take?**
The Compliance Officer can add their own supporting documents, investigate the matter further, or resolve the escalation.

## Troubleshooting Tips

If the compliance officer does not receive an alert, verify that the escalation was successfully submitted and that a trigger reason was properly selected from the dropdown menu.

How to Escalate a Client to a Compliance Officer

 Configuring Verification and Compliance Checks for individuals

Sending Onboarding Requests and Accessing the AML Summary for individuals

Completing the individual Risk Assessment and Finalising Onboarding

How to Onboard an Individual

Performing a Verification of Funds Check

Enhanced Due Diligence and Escalations

How to Finalise Trust Onboardings

How to Complete the AML Risk Assessment for Trusts

How to Onboard a Trust

How to Complete the AML Risk Assessment for Companies

How to Finalise Company Onboardings

How to Onboard a Company

Conducting an Initial Risk Review for Escalations

Resolving or Investigating Escalations Further

Reviewing Escalations as a Compliance Officer

AML Customer Due Diligence

Editing staff details to resolve Staff Onboarding validation errors

Duplicate Users - Practice Management Software Integration

Old Users Appearing in Staff Onboarding

Troubleshooting

How to add your AUSTRAC enrolment number

Setting up the AML/CTF Compliance Centre

Navigating the Transactions tab

Governing Body access in the Compliance Centre

Senior Manager or Client-Facing staff access in the Compliance Centre

Understanding the Transactions list

User roles and Viewing permissions

Navigating the Compliance Centre

Uploading your own Firm risk assessment

Completing the Firm Risk Assessment

Uploading an external Policy document

Generate a Policy and Process document

Managing policy and process documents

Policy and Process overview

Due Diligence requirements for Compliance Officers

Performing the Bankruptcy Register search

Performing the Criminal History check

Onboarding a Compliance Officer

Onboarding Governing Body, Senior Manager and Client-facing roles

Managing Staff Onboarding

How to Review Profile Matches from a Screening Check

Understanding Screening Check Statuses

Conducting PEPs, Sanctions, and Adverse Media Checks

Tracking completed Training Modules

How to check Training Status and access your Training Completion Certificate

How to access and complete Training modules

Managing Staff Training

AUSTRAC Reports

Viewing and filtering existing Reliance Agreements

Creating a New Reliance Agreement

Managing Reliance Agreements in the Compliance Centre

Frequently Asked Questions

Getting Started with the Compliance Centre

Guide

Help Center - Live

How to Escalate a Client to a Compliance Officer

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How to Escalate a Client to a Compliance Officer

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