Watchlist Case Management

Watchlist case management in RiskOS™ allows compliance teams to investigate and resolve potential watchlist matches. It provides a structured workflow to review cases, disposition them as matches or false positives, and maintain a clear audit trail.

Key components

Before working in Case Management, it’s important to understand the core objects in the system:

• Queue — The mechanism for distributing cases to Analysts or Officers. Cases can be auto-assigned (round robin) or reassigned manually by Supervisors.
• Case — The container created by RiskOS™ when submitted identifiers correlate with watchlist records. A case may contain multiple potential matches.
• Alert — The event that triggers a case, such as a monitoring update (a new sanction, an updated PEP record, or a removal from a list).
• Match — An individual watchlist entity inside a case that resembles the submitted data. A case can have one or many matches.
• Entity Card — The presentation of a single matched entity, showing aliases, identifiers, match scores, and metadata.

Cases

Cases move through defined statuses from creation to closure:

• NEW
• NOT REVIEWED — Awaiting pickup by an Analyst or Officer.
• IN PROGRESS
• ESCALATED — ( Two-step workflows only) Sent to a Supervisor for review.
• CLOSED — All entities dispositioned and the case is finalized.

Queues

In the RiskOS™ dashboard there are Cases queues and a Watchlist queue.

Cases queues

• All evaluations are visible under Cases → All Cases.
• Workflow logic can route cases to custom queues.
• When you click into a case, you’ll see the Case view with tiles.
• On each watchlist product tile that has a hit, a Cases button directs you to the Watchlist queue.

Watchlist queue

The Watchlist tab is the default queue for Watchlist cases with Reason Code R186.

All Screening and Monitoring hits with Reason Code R186 will appear there.

• Use the search to quickly find a watchlist case by case ID.
• You can also filter your case list based on date, status, assigned Compliance Officer, and case type for efficient case management.

Case workflows in the Watchlist tab are controlled by Case Management Settings, which let you configure either a One-Step Workflow or Two-Step Workflow. These workflows determine how cases are assigned in the Watchlist queue.

Entities

A case can include multiple entities. Each entity profile groups all identifiers for a single resolved entity across multiple watchlists, including aliases, DOBs, addresses, and supporting metadata.

Each entity profile may include multiple match results from each list where a match was returned.

AI-generated analysis

RiskOS™ provides AI-generated analysis that highlights:

• Which identifiers matched.
• The strength of the similarity.
• Key discrepancies between submitted data and the watchlist record.

The AI returns a recommendation on whether the match is a True Positive or False Positive, along with a Confidence Score.

• Summaries generated by AI are stored with the case for audit purposes.
• Analysts and Officers can accept or reject the AI’s analysis to speed investigations, but should validate against raw match data before making final decisions.

Match scores

• Name Match Score (0–100) — Indicates similarity between submitted and watchlist names.
• Entity Correlation Score (0–100) — Estimates the likelihood that the records are the same real-world person or entity.

Match details

• Match fields (such as dobExact, akaFuzzy) show what specifically matched.
• Attachments and comments provide an audit trail of how the decision was made.
• Supported file formats: PDF, DOC, CSV, JPEG, PNG, XLSX (up to 20 MB each).

Match decisions

When using RiskOS™ as your case management tool, each entity in a case must be marked as either a Match or No Match:

• No Match — The customer is not the same as the watchlist entity.
• Match — The customer is the same as the watchlist entity.

To make a decision on an entity:

1. Click into a case and select one of the Watchlist Entity profiles.
2. Review the match results and select Match or No Match.
3. Select the next entity and repeat until all matches have been decisioned.

Case closure

• In a One-Step Workflow, the Case Officer makes the final decision and closes the case.
• In a Two-Step Workflow, the Case Analyst makes a decision, and a Case Supervisor confirms or rejects it before closure.

All matches must be decisioned before the case can be closed.