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:

Alert Type Name
Alert Type Description
Alert Type Code
Alert Risk Value
Suppression Days

Info: Suppression Days suspends the alert for the specified period after it is resolved so that it does not trigger again for that amount of time.

Alert Type Details

Double-click the alert type to open the Alert Type Detail window.

Select the required alert type for the assigned lookup tables and the 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.

Tip: See the Alert Values tab to modify the alert details, the Examples of Alert Types Tasks section, and the Risk Values tab (1) to adjust the risk value for your alert.

Tip: For information on defining the suppression days for your particular needs, see the Alert Values, Examples of Alert Types Tasks, and Suppression Days sections (2).

Edit Lookup Table Assignment

Modify dates in the Edit Lookup Table Assignment window or click DETAILS to modify lookup values.

Click SAVE when finished.

Tip: For information on modifying dates and lookup values for your alert, see the Alert Values tab and the Examples of Alert Types Tasks section of the Rule Building tab (1).

Click DETAIL to display the complete lookup table for the selected alert type. Each line 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, 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.

Then click SAVE (3).

Employee Assignment Rule Setup

In the Employee Assignment Rule Setup tab, select the Employee Assignment Rule from the list.

Click SAVE when finished.

Adjustment Factor

The system uses various alert types. Each type must be evaluated with the Risk Value (1). By default, each alert has its risk value based on its type.

Select Alert Type (2) (Missing Suitability Profile in the example) and double-click the corresponding 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.

Note: This example sets up the Risk Value for Account Concentration.

Suppression Days

The Suppression Days tab allows you to set the suppression days for an alert. This is applicable only to 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.

Employees

In the Employees subtab, you can:

Search employee records
Add new employees
Delete/modify existing employees
View historical employee data

Tip: See the Employee Manager guide for detailed information.

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 to CSV or XLS format (Figure 3).
Click IMPORT to import the CSV file into the report (Figure 4).

Warning: Selected file should have columns in the same order as in the report.

Click Column Selector (5) to configure the report options.

Column Selector

Define page size (default value 20, maximum 200).
Select a column and click the up or down arrow to move this column up or down in the list.
Check the Fixed Column Size checkbox to freeze the column width.
Click Column Resizing and adjust the width of each column (Figure 6). Click Save to save the settings.
Click the checkbox in the Include in the Report column to display this column in the report.
Click the checkbox in the Total column to calculate the total value in this column.
Click the checkbox in the Sort By column to enable the sorting of the records by the selected column.
Click Save when finished.

Alert Value Detail

Name: summary of the alert, alert flag.
Description - short description or some details of the alert.
Code: recommended: abbreviated name or alert symbol.
Severity: defines how critical an alert is. Select from the dropdown: Critical Error, Error, or Warning.
Adjustment Factor

Click SAVE when finished.

Warning: If you’ve made changes, you must log off and then log on again in the system to see the changes.