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How Do I Resolve a Case?

A case represents a full compliance investigation. This guide walks through the typical lifecycle of a case from the moment it appears in your queue to when you close it. Along the way, you will review alerts, request information, collaborate with colleagues, and document your decisions.

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What you’ll learn

  • How a case arrives in your queue
  • How to move a case through each status
  • When and how to escalate
  • How to request client input
  • What is required before you can close a case

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Case lifecycle overview

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Walk through each stage

1

Case lands in your queue (New)

When a verification flow generates results that need review, a case is created with status New. The case appears in the case queue, showing:
  • Case name — auto-generated reference number
  • Type — Onboarding, Review, or Perpetual
  • Priority — Critical, High, Medium, or Low
  • Primary entity — the company or person under investigation
  • Open alerts count — how many alerts need attention
  • SLA due date — when the case must be resolved
Cases are sorted by priority. High-priority cases with approaching SLA deadlines appear at the top.
2

Open the case (In Progress)

Click the case to open it. The case detail view shows:
  • Header — case reference, type, status, priority, SLA countdown
  • Entity panel — all entities linked to this case (company, directors, UBOs, shareholders) with their verification statuses
  • Alert panel — all alerts on this case, grouped by entity
  • Risk panel — the current risk assessment with 4-dimension scores
  • Activity timeline — comments, status changes, and audit events
Opening the case automatically transitions it to In Progress, signaling to your team that someone is working on it.
3

Review each alert

Work through the alerts on the case. For each alert:
  1. Read the alert details and screening hit data
  2. Check the AI research results if available
  3. Investigate using the entity context and related documents
  4. Choose a resolution: Approve, Decline, Escalate, or Request Document
See How Do I Review Alerts? for the detailed alert review process.
Start with high-priority alerts and sanctions hits. Resolving the most critical issues first gives you a clearer picture of the overall case risk.
4

Request client input (if needed)

If you need additional information or documents from the customer, change the case status to Client Input. This:
  • Pauses the SLA clock (the customer’s response time is not counted against your SLA)
  • Signals to your team that the case is waiting on external input
  • Can trigger an email notification to the customer (if configured)
When the customer responds, move the case back to In Progress to resume your review.
5

Escalate for internal review (if needed)

If a case requires approval from a senior reviewer or compliance officer, move it to Internal Review:
  1. Click Escalate on the case header
  2. Select the escalation target (your manager or a designated senior reviewer)
  3. Write an escalation note explaining why the case needs senior review
  4. The case status changes to Internal Review and the escalation target receives a notification
The senior reviewer can:
  • Return the case to you (back to In Progress) with feedback
  • Approve the case and close it
  • Add their own review notes and comments
Cases that breach their SLA deadline can be auto-escalated to your manager if this feature is enabled. See Track SLA Compliance.
6

Close the case

Once all alerts are resolved and you are satisfied with the investigation, close the case:
  1. Verify the open alert count is 0 — you cannot close a case with unresolved alerts
  2. Review the risk assessment and confirm the risk tier is accurate
  3. Click Close Case
  4. Write resolution notes summarizing your findings and the overall decision
  5. The case status changes to Closed and a completion timestamp is recorded
Closure is final. Once a case is closed, its status cannot be changed. Make sure all alerts are resolved and your resolution notes are complete before closing.

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How does risk get recalculated?

Each time you resolve an alert, the system recalculates the case’s risk score. The risk score reflects:
  • The severity and count of remaining open alerts
  • The most recent approved risk assessment (if one exists)
  • The alert categories present on the case
After closing all alerts, the final risk tier (High, Medium, or Low) is locked in. See How Do I Read Risk Scores? for details.

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What’s next?

Review Alerts

Detailed guide to investigating and resolving individual alerts.

Manage Entities

Work with the entity hierarchy during your investigation.

Collaborate With Your Team

Add reviewers and discuss the case with colleagues.

Read the Audit Trail

Verify that every action on the case is recorded.