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Screening Profile

A Screening Profile is the iComplyKYC AML search tool used to check whether an entity appears on any PEPs, Adverse Media, Sanctions, Warnings, Fitness, or Probity lists. Setting up a Screening Profile involves three steps: Step 1 – Configure Profile Settings, Step 2 – Configure Search Criteria, and Step 3 – Case Assignment.

Users can create their own Screening Profile to match their compliance requirements. The user will create or change the profile in Administration --> Compliance Settings --> Risk Screening

When Adding a new Case allows users to associate this search with a single or multiple KYC Entity subject profiles.

  1.  Profile Name: Give the new screening profile a unique name.
  2.  Search Data: Name will always be a required field. Date of Birth/Incorporation and Country are optional fields, but can significantly improve the accuracy of a search.
  3.  Fuzziness: Level of flexibility for search results. A 0% Exact Match setting would return exact matches of the data entered: no aliases or alternative spelling. A 100% Broad Match setting would return all known instances of the name, aliases, and potential matches found.

4.  Entity type: specifies the search profile to a screening of a Person, Company, Organization, Vessel, Aircraft, or Any available match.

5.  AML Sources: Specifies which AML data sources will be included in the search profile (e.g., sanctions lists, PEP databases, adverse media feeds).

 

In Step 2 - Configure Search Criteria users have the option to specify nationalities, jurisdictions, risk levels, and KYC statuses for conducting searches.

In the Apply By Nationality section, you can select specific nationalities based on country. This allows you to conduct searches specifically targeted toward those chosen nationalities.

Within the "Apply By Jurisdiction" section, you have the option to select specific countries for conducting your search. This allows you to focus the search results on the chosen jurisdiction.

In the "Apply By Risk Level" section, you can perform screenings on select entities that possess specific risk level values, according to your configured risk level settings.

In the "Apply By KYC Status" section, you can conduct screenings specifically on chosen KYC statuses. This allows you to focus your search on entities with the selected KYC statuses.

Users can also enable the Ongoing Monitoring toggle to run a daily automated search, or the Annual Review toggle to run a yearly automated search. These searches run automatically once the Screening Profile is attached to an entity.

In Step 3 - Case Assignment you have the option to customize case assignments by assigning them to specific users. This allows you to designate certain users to handle and manage specific cases.

  1.  Assign All to: Will assign all search results to the same user.
  2.  Assign by Jurisdiction: Can select from all countries and choose specific users to be assigned by country.
  3.  Assign by Source: Can assign particular AML sources to different users.
  4.  Automation Toggles: Configure automatic case and KYC status updates based on screening results:
  •  If no matches are found, set the Case status to Closed - this toggle will close all cases that do not have any matches
  •  No potential risk updates the KYC Status - this toggle will update the Entity's KYC Profile to the selected status
5.    Default Screening toggle button: If enabled, this profile will be used as the default risk screening profile for all new searches.

Once all fields have been selected, the user can click Previous to modify any search criteria, the 'X' button to cancel or Submit to save the screening profile.