January 2025	Revised formatting for more straightforward navigation
January 2024	New functionality “Adding Notes for Investigated Alerts“
December 2023	Screenshots updated
January 2022	Created initial version

Overview

The Alert Monitor allows you to view and manage alerts in your system. To access the Alert Monitor, click Compliance (1) > Alert Monitor (2).

Alert Monitor contains the following tabs:

Audience: Compliance Team members.

Functionality: The Alert monitor allows you to set up and monitor surveillance for trades, sales, addresses, orders, accounts, data changes, licenses, and appointments.

Page:
Alert Monitor
Page:
Audit Monitor
- compliance
- audits
Page:
The Commissions Module
Page:
OFAC & FinCEN
Page:
The Compliance Module

jaccomo

Alert Monitor

Analytics

Overview

Audience: Compliance Team members.

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