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Alert Monitor
To access the Alert Monitor, click the Compliance tab (1), then click on Alert Monitor (2). The Alert Monitor allows you to view and manage alerts in your system.
Alert Search
How to Evaluate Alerts
Note: The example below demonstrates how to evaluate Account Value Change alerts.
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Status = *These are the default values of the dropdown.
Click EVALUATE ALERTS. This opens a new dialog box. Note: If you have more than one monitor, the dialog box may appear on a different screen.
On the Trades Tab, de-select the Trades checkbox (1). Then click OK (2).
Click on the Accounts tab then enter the following values. Click OK.
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Setup
There are several subtabs in the Setup tab.
Alert Status Flags
To add a new alert status flag, enter:
status flag name
description
flag value.
Click ADD to add the new alert status flag.
Click SAVE to save the flag for reuse.
Alert Types
The Alert Types subtab displays a list of all defined alert types. It contains:
Alert Type Name
Alert Type Description
Alert Type Code
Alert Risk Value
Suppression Days
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Double-click the alert type to open the Alert Type Detail window. Select the required alert type to see the assigned lookup tables and employee assignment rule setup. Double-click the lookup table to open the Edit Lookup Table Assignment window. Click the Employee Assignment Rule Setup tab to assign the rule. Make changes in the Alert Type Detail window and click SAVE.
Modify dates in the Edit Lookup Table Assignment window or click DETAILS to modify lookup values. Click SAVE when finished.
Click DETAIL to display the complete lookup table for the selected alert type. Each of these lines is a separate alert with the Missing Suitability Profile type. Double-click the row you are interested in (Missing Suitability - Birth Date Unsolicited in the example). In the Lookup Table Row Detail window (Figure) verify the flags (Birth Date = Yes (1), and Solicited = No (2)). If these details overestimate the risk, then you can decrease the risk value by adjusting it. If this alert flag is 10 for Missing Suitability, you can adjust it to -8, then it will flag as a risk value=2. Click SAVE (3).
In the Employee Assignment Rule Setup tab, select the Employee Assignment Rule from the list. Click SAVE when finished.
There are various alert types used in the system. Each type has to be evaluated with the Risk Value (1). By default, each alert has its risk value, based on the alert type. Select Alert Type (2) (Missing Suitability Profile in the example) and double-click the corresponding Assigned Lookup Table (3). |
Employees
In the Employees subtab you can:
Search employee records
Add new employees
Delete/modify existing employees
View historical employee data
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Tip: See the Employee Manager guide for detailed information. |
Alert Schedule Setup
Select the Schedule type:
Manually
Daily
Weekly (enter the week) (W)
Monthly (enter the day of the month) (M)
Select the time (hour) when to display the alert.
Click Alert Source Parameters to configure the alert (see the details in the next screens).
Click SAVE when finished.
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Click the Trades tab to open a Trades Alert Schedulers window. Configure required parameters:
Click the Accounts tab to open an Accounts Alert Schedulers window. Configure required parameters:
Click the Addresses tab to open an Addresses Alert Schedulers window. Configure required parameters:
Click the Audits tab to open an Audits Alert Schedulers window. Configure required parameters:
Check Generate Multiple Alerts per Alert Type, and/or Generate Debug Alerts if required. Click OK when finished.
Click the Contracts tab to open a Contracts Alert Schedulers window. Configure required parameters:
Click the Employees tab to open an Employees Alert Schedulers window. Configure required parameters:
Click the Licenses tab to open a Licenses Alert Schedulers window. Configure required parameters:
Click the Orders tab to open an Orders Alert Schedulers window. Configure required parameters:
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Alert Values
The Alert Values tab allows you to create names for your alerts.
Click the Setup (1)> Alert Values (2) tabs.
Enter the Value name, Code, Description, and/or Severity (3), then click FILTER (4) to display only the filtered records.
Double-click the record (or select the record and click DETAIL) to display or edit record details. Edit details in the Alert Value Detail window and click SAVE.
Click ADD to create a new record. Add details in the Alert Value Detail window and click SAVE.
Select the record and click DELETE to delete the record.
Click EXPORT to export the report in the CSV or XLS format (Figure 3).
Click IMPORT to import the CSV file into the report (Figure 4).
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Warning: Selected file should have columns in the same order as in the report. |
Click Column Selector (5) to configure the report options.
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Click SAVE when finished.
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Examples of Alert Types Tasks
Click the tabs below for step-by-step instructions for creating common tasks on the Alert Types tab.
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The Rule Building tab allows you to create individual alert types.
Note: Double-click on the alert type to open the Alert Type Detail window.
The table contains all the rules set up for the flag. Consider which rules you should add, delete, change, insert or renumber.
Select the parameters for your alert, based on the needs of your rule.
The Risk Values tab sets the risk value of your alert. Note: This example sets up the Risk Value for Account Concentration.
The Suppression Days tab allows you to set the suppression days for an alert. This is applicable only for the five Account Alerts in the system (Account Concentration, Account Dates, Account Exception, Account Turnover, and Account Value Change). Note: This example sets up the Suppression Days for the Cost to Equity alert.
Note: Account Alerts are a snapshot in time. Several Account Alerts are run monthly. But if you want to look at the particular alert every quarter instead of every month, you can suppress that alert for 90 days. Enter the value in the Suppression Days field. |
Session Management
The Session Management window shows a list of active alerts in the current session, as well as the alert generation history.
Click REFRESH to display the latest changes.
To filter the history results, enter the Start Date, End Date, User ID, and click FILTER.
Select the Task and click DETAIL to display the Queued Task Detail window.
The Queued Task Detail window contains more details about the selected task.
Audience: All jCore Users
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Functionality:The Alert monitor allows you to the setup and monitor surveillance for trades, sales, addresses, orders, accounts, data changes, licenses, and appointments. |
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