Generate Compliance Reports
Compliance Reports in RiskOS™
Compliance Reports in RiskOS™ are categorized into three types: Transactions, Audit, and Watchlist. Each type may include several subtypes, providing comprehensive details about your account's activity.
Transactions reports
The Transactions report type offers two report subtypes: Transaction Details and DocV Consent.
Customize your Transaction Details report by including any of the following information for your account's transactions:
| Account Intelligence | - Account Intelligence Ownership Score - Account Intelligence Availability Score - Account Intelligence Reason Codes |
| Address Risk | - Address Risk Score - Address Risk Reason Codes |
| Decision | - Decision Value - Decision Logic Name - Decision Version - Decision Details |
| Device Risk | - Device Risk Score - Device Identity Correlation Score - Device Risk Reason Codes - Device Data Information - Device Data IP Geolocation - Device Data GPS Geolocation - Device Data Observations - Velocity Metrics FirstName - Velocity Metrics SurName - Velocity Metrics Email - Velocity Metrics Mobile Number |
| Digital Intelligence | - Computed - Network - Attributes - Behavioral - History - Velocity |
| Document Verification | - Document UUID - Document Verification Document Type - Document Verification State - Document Verification Country - Document Verification Decision Name - Document Verification Decision Value - Document Verification Reason Codes |
| Email Risk | - Email Risk Score - Email Risk Reason Codes |
| First Party Fraud | - Identity - Application - Account - ACH Transaction - Check Transaction - Card Transaction |
| Fraud | - Fraud Score - Fraud Reason Codes |
| Socure Verify (KYC) | - KYC First Name Field Validation - KYC Sur Name Field Validation - KYC Street Address Field Validation - KYC City Field Validation - KYC State Field Validation - KYC ZIP Field Validation - KYC DOB Field Validation - KYC SSN Field Validation - KYC Reason Codes |
| Socure Verify Plus (KYC Plus) | - KYC Plus First Name Field Validation - KYC Plus Sur Name Field Validation - KYC Plus Street Address Field Validation - KYC Plus City Field Validation - KYC Plus State Field Validation - KYC Plus ZIP Field Validation - KYC Plus DOB Field Validation - KYC Plus SSN Field Validation - KYC Plus Reason Codes |
| Name Address Correlation | - Name Address Correlation Score - Name Address Reason Codes |
| Name Email Correlation | - Name Email Correlation Score - Name Email Reason Codes |
| Name Phone Correlation | - Name Phone Correlation Score - Name Phone Reason Codes |
| Social | - Social Profiles - Social Reason Codes |
| Synthetic | - Synthetic Risk Score - Synthetic Risk Reason Codes |
| Transaction | - Reference ID - Transaction Date - Error - Processing Time - Status - Modules - Environment - Customer User ID - User ID |
| Watchlist | - Watchlist Reason Codes - Watchlist Monitor |
The DocV Consent reports contain the following information for your account's transactions:
| Column Name | Description |
|---|---|
| Event ID | The reference ID of the DocV session. |
| Event Date | The date and time the DocV session began. |
| Transaction ID | The reference ID of the DocV transaction. |
| Transaction Date | The date of the DocV transaction. |
| Consent ID | A unique identifier for the consent record. |
| Consent Response | Indicates if the consumer agreed to the DocV terms and consent. Possible values are Agreed or Declined. If this field is blank, consent was not provided and the session ended without creating a transaction. If the value is Agreed but there is no transaction ID, consent was provided but the consumer abandoned the transaction without capturing or uploading their documents. |
| Consent Timestamp | The time and date of the consent response from the consumer. |
| Consent Version ID | Identifies the version of the consent displayed to the consumer. |
| Consent Language | Identifies the language of the terms and consent feature displayed to the consumer. |
Audit reports
The Audit report type offers the following report subtypes: Account Activity, Products Settings, Products Settings Change Logs, and Users & Roles.
The Account Activity report can include the following information for your account's user activity:
| Column Name | Description |
|---|---|
| User ID | A unique identifier for an account user. |
| Time Stamp | The time and date of a user's activity. |
| IP Address | The IP address used for logging into the account. |
| Action | The recorded activity performed by the user. |
| Modifications | Display any modifications to the user's first name, last name, and phone number. |
| Additions | Display any new accounts that the user has gained access to, including specific roles, or newly added roles to accounts the user already has access to. |
| Deletions | Display any accounts from which the user's access has been removed, including roles that have been removed from accounts the user previously had access to. |
The Product Settings report can include the following information for your account's general and module-specific settings:
| Setting | Value | |
|---|---|---|
| General Settings | Account Intelligence | - Enabled; or - Disabled |
| Address Risk Score | - Enabled; or - Disabled |
|
| Device Risk | - Enabled; or - Disabled |
|
| Document Verification | - Enabled; or - Disabled |
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| Email Risk Score | - Enabled; or - Disabled |
|
| Fraud Score | - Enabled; or - Disabled |
|
| KYC | - Enabled; or - Disabled |
|
| KYC Plus | - Enabled; or - Disabled |
|
| Decision | - Enabled; or - Disabled |
|
| Phone Risk Score | - Enabled; or - Disabled |
|
| Prefill | - Enabled; or - Disabled |
|
| Synthetic | - Enabled; or - Disabled |
|
| Global Watchlist | - Enabled; or - Disabled |
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| Idle Session Sign-out | A time value in seconds (e.g., 480) | |
| Auto Sign-out | A time value in seconds (e.g., 480) | |
| API Allowable IPs & Domains | A comma separated concatenated list of IPs and domains configured for API access for the account (e.g., 54.83.187.32, 54.86.50.139) | |
| Dashboard Allowable IPs & Domains | A comma separated concatenated list of IPs and domains configured for RiskOS™ access for the account (e.g., 54.83.187.32, 54.86.50.139) | |
| KYC Settings | KYC Date of Birth Tolerance | One of the following values: - Exact YYYY/MM/DD - One Year Radius YYYY/MM/DD - Exact YYYY - One Year Radius YYYY - Exact YYYY/MM - One Year Radius YYYY/MM - One Year Radius & 2 Digit Transposition YYYY/MM/DD - One Year Radius & 2 Digit Transposition YYYY/MM |
| KYC National ID Tolerance | - Exact; or - Fuzzy |
|
| Document Verification Settings | Document Verification Minimum Age Requirement Under The Age Of | A positive integer value (e.g., 18) |
| Document Verification Minimum Age Requirement Then | - Review; or - Reject |
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| Data Matching Tolerance - Match ‘First Name’ against known ‘Nicknames’ and ‘Aliases’ | - Enabled; or - Disabled |
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| Data Matching Tolerance - Difference in Months | A positive integer value (e.g., 0) | |
| Data Matching Tolerance - Difference in Months Then | One of the following values: - Accept - Review - Resubmit - Reject |
|
| Data Matching Tolerance - Under Threshold Of | A positive integer value (e.g., 70) | |
| Data Matching Tolerance - Under Threshold Of Then | One of the following values: - Accept - Review - Resubmit - Reject |
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| Document Expiration - Grace Period | - Enabled; or - Disabled |
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| Document Expiration - Days after Expiration | A positive integer value (e.g., 10) | |
| Document Expiration - Days after Expiration Then | - Review; or - Accept |
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| Document Expiration - Intercept soon to expire | - Enabled; or - Disabled |
|
| Document Expiration - Intercept soon to expire | A positive integer value (e.g., 10) | |
| Document Expiration - Intercept soon to expire Then | One of the following values: - Review - Reject - Accept |
|
| Global Watchlist Settings | Global Watchlist Require Date of Birth & Name to Match | - Enabled; or - Disabled |
| Global Watchlist Name Fuzziness | A positive integer value (e.g., 50.0) | |
| Global Watchlist Entities Limit | A positive integer value (e.g., 10) | |
| Global Watchlist Auto Monitor Watchlist Transactions | - Enabled; or - Disabled |
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| Global Watchlist Suppress PEPs Without URLs | - Enabled; or - Disabled |
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| Global Watchlist Date of Birth Tolerance | One of the following values: - Exact YYYY/MM/DD - One Year Radius YYYY/MM/DD - Exact YYYY - One Year Radius YYYY - Exact YYYY/MM - One Year Radius YYYY/MM - One Year Radius & 2 Digit Transposition YYYY/MM/DD - One Year Radius & 2 Digit Transposition YYYY/MM |
|
| Global Watchlist Source List Countries | A comma separated concatenated list of countries enabled for the account (e.g., Algeria, Aruba, Australia) | |
| Global Watchlist Categories | A comma separated concatenated list of watchlist categories enabled for the account (e.g., Sanctions, PEP, Enforcement, Adverse Media, Custom Watchlist) | |
| Global Watchlist Source List Adverse Media | A comma separated concatenated list of adverse media enabled for the account (e.g., Adverse Media V2 Fraud Linked, Adverse Media V2 Regulatory) | |
| Global Watchlist Source List Enforcement | A comma separated concatenated list of enforcement enabled for the account (e.g., Albania State Police Wanted, Argentina Ministry of Justice Most Wanted) | |
| Global Watchlist Source List PEP | A comma separated concatenated list of PEP enabled for the account (e.g., PEP Class 1, PEP Class 3) | |
| Global Watchlist Source List Sanctions | A comma separated concatenated list of Sanctions enabled for the account (e.g., DFAT Australia Consolidated Sanctions List, Bahrain Terrorists List) | |
| Global Watchlist Source List Custom Watchlist | A comma separated concatenated list of custom watchlist enabled for the account (e.g., Internal list.csv) | |
| Global Watchlist Adverse Media Historical Range | A string value (e.g., 5 Years) |
The Product Settings Change Log reports contain the following information:
- The individual setting
- The setting before
- The setting after
- The user who modified the setting
- Timestamp of the setting modification
The User & Roles reports contain the following information:
Account Name – The name of the account the user belongs to
User Name – The full name of the user
User Email – The user’s email address
User Phone Number – The user’s contact number (if available)
User Role(s) – One or more roles assigned to the user
Status– The current status of the user:
Active – User has access
- Locked – User is temporarily blocked
- Deleted – User is no longer active (included only if Include Deleted Users is selected)
Watchlist reports
The Watchlist report type offers two subtypes: Comprehensive Screening Report and Source List Audit Log.
The Comprehensive Screening reports contain the following information for your account's transactions:
| Request Fields | Response Fields |
|---|---|
| - Watchlist Module(s) - Customer User ID - User ID - First Name - Sur Name - Full Name - Physical Address - City - State - Zip - Country - National ID - Input DOB - Mobile number/phone number - Email ID |
- Transaction ID - Transaction Timestamp - Reason Codes - Case ID(s) (available for accounts provisioned with the Case Management feature) - Entity ID - Match Score - Entity Correlation Score - Source List - Watchlist Category - Name - Match Fields - Address - Country - DOB - Program - Listing ID - Designation Date - Political Position - Source URL |
The Source List Audit Log reports contain the following information for your account's:
- Source Name: The name of the watchlist source that was retrieved as part of the data extraction process.
- Category: The name of the watchlist category (Sanctions, PEP, Enforcements, Adverse Media) to which the above source belongs.
- Poll Date: The date when the source was retrieved by the data extraction process.
- Updated Date: The most recent date the source was retrieved.
- Records Added: The total number of records added as part of the collected data in the data extraction process.
- Records Removed: The total number of records removed as part of the collected data in the data extraction process.
- Record Updated: The total number of records updated as part of the collected data in the data extraction process.
Updated 3 days ago.