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Case Lifecycle

Cases are the primary unit of work in the Zenoo AML platform. Each case represents an investigation into an entity (company or person) and aggregates alerts, risk assessments, checks, and reviewer workflows.

Case types

Use Onboarding for new customers, Review for scheduled periodic re-assessments, and Perpetual for continuous monitoring triggered by screening alerts.

Status transitions

Cases follow a defined state machine. Only valid transitions are permitted.

Invalid transitions

The API returns a 422 Unprocessable Entity error for invalid transitions:

SLA calculation

SLA due dates are automatically calculated from custom metadata based on case type and priority:

SLA status

Auto-escalation

A nightly batch job checks for SLA breaches. Cases with auto-escalation enabled are automatically:
  1. Set to Internal Review status
  2. Assigned to the current analyst’s manager
  3. Flagged with an escalation reason (“SLA breach”)
  4. Logged in the audit trail

Closure requirements

A case can only be closed when:
  1. All alerts are resolved — open alert count must be zero
  2. Resolution notes provided — a summary of the investigation outcome
If open alerts remain, the API returns:

Escalation

Cases can be escalated manually or automatically.

Manual escalation

What happens on escalation

  1. Case status changes to Internal Review
  2. Case is assigned to the specified manager
  3. Email notification sent to the manager
  4. Audit trail entry created (CASE_ESCALATION)
  5. Escalation date and reason are recorded

Risk score recalculation

Case risk scores are automatically recalculated when:
  • An alert is resolved or created
  • A risk assessment is approved
  • An analyst applies a risk override
The system uses approved risk assessments as the primary source. If none exist, it falls back to an alert-based scoring algorithm.

Next steps