Lesson 13 of 19

The waiting question is answered

For: Compliance officerAbout 3 min

What you will be able to do

This lesson is for the compliance officer, and closes lessons 9 and 10. Once access was approved, the question that was waiting went to Nasser by itself. You will open the conversation with Nasser, see the note that Nasser is now enabled, read the answer, and check it against the customer due diligence records in the AML module.

Before you start

  • You are signed in as the compliance officer of Meridian Souq Trading LLC.
  • Lessons 9 and 10 are done: Nasser has been let onto the entity.

Steps

  1. 1

    Open the conversation with Nasser

    In the AI team's Chat, select Nasser in the list of conversations. Your question is there, and under it a line in green: Nasser is now enabled, working on it. That is the moment the access was approved and your question went to Nasser.

    • Select NNasserAIFinancial crime
  2. 2

    Wait for the answer

    If Nasser is still working, the status says so and the answer appears within a few minutes. Nasser reads the customer due diligence records of this entity through ComplianceOS, using only the permissions approved in lesson 10.

    The screen at step 2: Wait for the answer
  3. 3

    Read Nasser's answer

    Nasser's answer appears under the name Nasser with the AI label and the word Answer. Nasser reports that both customer due diligence records of the entity are still pending verification: Falcon Mart Trading LLC and Palm Grove Hypermarket LLC. For each, Nasser says what is done, such as the sanctions screen, and what is missing, such as the KYC documents, a PEP screen and the owners, and ends by saying nothing was changed. The status under it reads Done.

  4. 4

    Check it in the AML module

    An answer is a report. In the left menu open AML, the anti-money laundering module, and select CDD Records. The two customers there, Falcon Mart Trading LLC and Palm Grove Hypermarket LLC, both show Pending, as Nasser said. Each customer is still verified by a person, with Verify or Edit.

    • Select CDD Records2

How to check it worked

The conversation with Nasser shows the note that Nasser is now enabled, then Nasser's green Answer and the status Done.

Common mistakes

  • Sending the question a second time while it waits. It would run twice.
  • Acting on the agent's list without opening the records. Nasser reads and reports; a person verifies each customer in the AML module.

Check your understanding

  1. 1. What does the line Nasser is now enabled, working on it mean?

    1. A.Nasser has finished
    2. B.Access was approved, and your waiting message went to Nasser
    3. C.Nasser approved the alerts
    4. D.You must send the message again
    Show answer

    Answer: B. Access was approved, and your waiting message went to Nasser

    It marks the moment the waiting message was released to the agent.

  2. 2. Who verifies a customer that Nasser lists as pending?

    1. A.Nasser
    2. B.A person, in the AML module
    3. C.Zayed
    4. D.Nobody
    Show answer

    Answer: B. A person, in the AML module

    Agents prepare and report; people decide.