Page Summary
The top of the page shows summary information for the selected record, including its compliance score, screening status, risk level, contact or company details, and other key indicators. These cards help users understand the record before reviewing the detailed compliance sections below.
| Area | What It Shows | How to Use It |
|---|---|---|
| Compliance Summary | Shows the current compliance percentage and related requirement indicators. | Use this to quickly understand whether the record is complete or still requires follow-up. |
| Screening | Shows whether screening or monitoring is active and whether screening compliance has been satisfied. | Review this area when monitoring is inactive, overdue, or requires action. |
| Risk | Shows the selected record’s risk level and risk review result. | Use this to confirm whether risk review requirements have been completed. |
| Contact or Company Details | Shows basic identifying information for the selected Contact, Entity, or Relationship. | Confirm that the review is being performed on the correct record. |
Review Message
If the record cannot currently be validated, a message appears near the top of the review area. This message explains why compliance has not been validated and may identify the action that must be completed.
Review and History Tabs
The Review tab shows the current compliance position and the areas that need attention. The History tab shows previous compliance review activity, including prior validation or invalidation events where available.
Compliance Sections
Descriptors
Shows whether required descriptor responses have been completed. Descriptors are custom fields or questions created by admins in Descriptor Management.
If this section is compliant, all required visible descriptors have responses. If it is incomplete, one or more required descriptor responses are missing.
Documents
Shows whether required documents have been provided based on matching document policies.
Missing documents are marked as incomplete. Completed documents are marked as satisfied. Document requirements may come from Global policies or Local policies attached to the exact record.
Screening
Shows whether screening requirements have been satisfied. This may include monitoring status or screening-related actions.
If monitoring is not enabled or screening needs work, the section will show as incomplete until the required screening action is resolved.
Risk Review
Shows whether the risk review requirement has been satisfied for the selected record.
If the risk review is overdue or incomplete, the record may not be eligible for validation until the risk review is completed.
Status Indicators
Each compliance section uses clear status indicators to show whether the area is compliant or incomplete.
- Compliant means the requirement has been satisfied for the selected record.
- Incompliant means one or more required items still need attention.
- A check mark indicates a satisfied item.
- An alert or cross indicator identifies a missing, incomplete, or invalid item.
Validate and Generate Actions
The page may include actions such as Validate and Generate. Validation confirms whether the record currently satisfies compliance requirements. Generate may be used to produce or refresh compliance-related output, depending on the configured workflow.
How Requirements Are Determined
Compliance requirements are based on policies that match the selected Contact, Entity, or Relationship. Common matching criteria include Type, Risk, Lifecycle, Strategy, and Structure.
- If policy criteria are empty, they generally mean All.
- If policy criteria are populated, the selected record must match those values.
- Global document policies apply when their criteria match the selected record.
- Local document policies apply only to the exact Contact, Entity, or Relationship where they are attached.
- Descriptor policies can only require descriptors that are visible for the selected record.
Best Practices
- Confirm that the correct Contact, Entity, or Relationship is selected before starting the review.
- Begin with sections marked as incompliant, since they identify the items blocking validation.
- Review missing documents and descriptor responses before attempting to validate.
- Use Lifecycle when reviewing policy criteria, rather than Status.
- Check whether a missing document is required by a Global policy or a Local policy.
- For descriptor issues, confirm that the descriptor is visible before reviewing whether it is required.
- Use the History tab to understand previous review outcomes or invalidation reasons.