## Summary

This article outlines the final steps in handling an escalation, detailing how to choose between resolving the issue or investigating it further.

## When to Use This

Use this guidance after you have completed your initial risk review and documented your rationale, and you are ready to make a decision on the escalation.

## Step-by-Step Instructions


1. Ensure your rationale and notes are fully documented in the review text field.
2. Review your two available options for proceeding:
   * **Resolve**: Click this button if you are comfortable with the onboarding and the risks have been mitigated.
   * **Investigate Further**: Select this option if you need more information or need to add supporting documents.
3. If necessary, attach any additional supporting documents to back up your decision.
4. Finalise your choice to log the decision and tie your rationale to the escalation record.

## Common Questions

**What happens after I click Resolve?**
The escalation is marked as reviewed by the Compliance Officer, and the process can proceed with your rationale permanently attached to the record.

## Troubleshooting Tips

**Need to add more information after making a decision?**
It is best to ensure all documentation and supporting files are added during the "Investigate Further" phase, as resolving the escalation will close the review process.

Resolving or Investigating Escalations Further

 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

How to Escalate a Client to a Compliance Officer

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

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

Resolving or Investigating Escalations Further

Share

Share

Resolving or Investigating Escalations Further

Share

Share