There are several subtabs in the Setup tab:

• Alert Status Flags

• Alert Types

• Employees

• Alert Values

• Alert Schedulers

Alert Status Flags

Alert Types

The Alert Types subtab displays a list of all defined alert types. It contains the following information for each Alert Type. You can also single-click a row (1) to view assigned lookup tables (2) and employee assignment rules (3).

• Alert Type Name

• Alert Type Description

• Alert Type Code

• Alert Risk Value

• Suppression Days

Open

Alert Type Details

Double-click on the alert type to access the Alert Type Detail window. Make the necessary adjustments within this window, and then click SAVE to apply your changes.

Open

Edit Lookup Table Assignment

Double-click the lookup table to access the Edit Lookup Table Assignment window. In this window, you can modify the dates or click DETAILS to adjust the lookup values. Once you have made your changes, click SAVE to finalize your updates.

To view the full lookup table for the selected alert type, click on DETAIL. Each line represents a distinct alert categorized under the Missing Suitability Profile type. To explore a specific alert, double-click the relevant row, such as Missing Suitability - Birth Date Unsolicited in the example provided.

In the Lookup Table Row Detail window (see Figure), check the flags: Birth Date should be set to Yes (1), and Solicited should be set to No (2). If these indicators suggest an overestimated risk, you can lower the risk value accordingly. For instance, if the alert flag for Missing Suitability is 10, you may adjust it to -8. This adjustment will result in a risk value of 2.

After making the necessary changes, click SAVE (3).

Employee Assignment Rule Setup

In the Employee Assignment Rule Setup tab, choose the desired Employee Assignment Rule from the available list. Once you have made your selection, click SAVE to finalize your changes.

Adjusting Risk Value

The system employs multiple alert types, each requiring assessment against a Risk Value of 1. By default, every alert is assigned a risk value according to its specific type.

To proceed, select the Alert Type (2) — for instance, Missing Suitability Profile — and double-click on the Assigned Lookup Table (3).

Examples of Alert Types Tasks

Rule Building

The Rule Building tab allows you to create individual alert types.

Risk Values

The Risk Values tab sets the risk value of your alert.

Suppression Days

The Suppression Days tab enables you to configure the suppression days for alerts. This feature specifically pertains to the five Account Alerts available in the system: Account Concentration, Account Dates, Account Exception, Account Turnover, and Account Value Change.

Employees

In the Employees subtab, you can:

• Search employee records

• Add new employees

• Delete/modify existing employees

• View historical employee data

Alert Values

The Alert Values tab enables you to assign names to your alerts effectively.

To get started, click on the Setup (1) tab followed by the Alert Values (2) tab.

• Input the Value name, Code, Description, and/or Severity (3), then click FILTER (4) to view only the filtered records.

• To display or edit record details, double-click the record or select it and click DETAIL. Make your edits in the Alert Value Detail window, then click SAVE.

• To create a new record, click ADD, fill in the details in the Alert Value Detail window, and click SAVE.

• To remove a record, select it and click DELETE.

• To export the report, click EXPORT to save it in CSV or XLS format (see Figure 3).

• To import a CSV file into the report, click IMPORT (see Figure 4).

• Click Column Selector (5) to adjust the report options as needed.

Column Selector

In the Column Selector window, you can perform several actions to customize your view:

• Define the page size, with a default value of 20 and a maximum of 200.

• Select a column and use the up or down arrow to reposition it within the list.

• Check the Fixed Column Size option to lock the column width.

• Click on Column Resizing to adjust the width of each column (see Figure 6). Remember to click Save to apply your changes.

• Use the checkbox in the Include in the Report column to ensure this column appears in the report.

• Check the box in the Total column to calculate the total value for that column.

• Enable sorting of records by selecting the checkbox in the Sort By column.

• Finally, click Save when you have completed your adjustments.

Alert Value Detail

The Alert Value Detail Window includes the following fields:

• Name: A summary of the alert, also known as the alert flag.

• Description: A brief overview or additional details regarding the alert.

• Code: Recommended to use an abbreviated name or alert symbol.

• Severity: Indicates the criticality of the alert. Please select from the dropdown options: Critical Error, Error, or Warning.

• Adjustment Factor:

Once you have completed your entries, click SAVE to finalize your changes.