Overview
This guide summarises the webinar on time-saving tips for screening and Ongoing Monitoring. It covers the new monitoring settings for individuals and businesses, the updated screening review experience, how to work through monitoring alerts in bulk, and how Risk Rules remove back-and-forth with clients.
The session followed the client lifecycle in order, starting with the settings that underpin everything else, then moving through onboarding and screening, then ongoing monitoring, and finally Risk Rules. Everything covered is designed around the same goal: aligning Legl to your firm's risk policy so your team sees the alerts that matter and spends less time on the ones that do not.
Who this is for
Firm administrators configuring monitoring settings for individuals and businesses
Compliance teams and MLROs who own the firm's risk policy and review escalated alerts
Fee earners and support staff who screen clients and review monitoring alerts day to day
Anyone managing a backlog of Ongoing Monitoring alerts
Watch the recording
What this covers
The webinar walked through five areas of the platform.
Configuring your monitoring settings
Monitoring settings sit under Settings, then Monitoring, and are available to administrators. If you cannot see the tab, ask your firm administrator to review it for you.
Weekly summary recipients: Legl sends a monitoring summary every Monday morning showing how many high, medium and low alerts are waiting for review. Add the people who should receive it, such as your compliance officer or MLRO, separating multiple addresses with a comma.
Auto-assign reviewers: turn this on so each monitoring alert is automatically assigned to the person who created the original request, for both individuals and businesses. With it turned off, alerts show as unassigned.
Analyse impact: every settings group has an Analyse impact button that shows how many of your current alerts a change would affect, before you commit to it. Run it before and after each change so you can see the effect of that specific toggle.
Information icons: hover over the icon next to any setting for a plain-language explanation of what it covers.
ℹ️ Further guidance
Individual monitoring settings
Individual monitoring settings give you control over which alert types Legl surfaces for individual clients. Most are on by default, and you can turn off the ones that are not relevant to your firm's risk policy.
Sanctions and PEPs: PEP hits are now categorised by PEP level, so you can choose which levels you want to see. PEP level 4 covers roles such as mayors, local assembly members, local government executives and local court judges.
Warnings: configure domestic, international and non-domestic warnings separately. International warnings come from wider sources such as the UN, Interpol and the World Bank. Non-domestic warnings come from sources and countries outside your firm's own country.
Fitness and probity: available as its own toggle.
Adverse media: all AML-related adverse media hits stay on by default. Non-AML risk types are off by default and can be turned on if you want visibility of them.
Match sensitivity: control how closely a hit must match your client's details. A looser setting returns alias and shortened-name variations, while the strictest setting returns exact matches only.
Match sensitivity affects what gets surfaced, so change it in small increments and analyse the impact each time. A minor difference in a recorded date of birth, for example, appears as a signal against the match rather than suppressing the hit entirely.
ℹ️ Further guidance
Company monitoring settings
Company monitoring settings work in the same way as individual settings, with two additions that give you more control over business alerts.
Risk categorisation: set each alert type as low, medium or high according to your firm's risk appetite. If a company status change is material to your matters, set it to high. If it is not, set it to medium or low.
Filtered alerts: several alert types have a drop-down that narrows what triggers an alert. Address changes are a common example: you can choose to be alerted only when a company moves country, rather than every time it changes office.
Ownership thresholds: set the shareholding change threshold you care about, so a firm that only reviews changes above 25% is not alerted to smaller movements. Parent and ultimate owner changes can be filtered to country changes in the same way.
Leadership, legal events, credit risk and financials: each has its own toggle and categorisation.
High-volume flags: Legl flags the alert types generating the most noise for your firm, so you can start by reviewing those rather than working through every setting at once.
These changes can be made incrementally. Nothing is lost by turning an alert type off and revisiting it later.
ℹ️ Further guidance
Reviewing screening results
When you open a screening hit, Legl now shows more of the reasoning behind why it was surfaced, so you can decide faster whether it is your client.
Role and sources: the role recorded against the person, and every source the hit was matched against.
AI summary: a plain-language explanation of the hit.
Signals: everything in favour of the match on one side and everything against it on the other, so a partial mismatch is visible rather than hidden.
Image matching: where an image is available, Legl surfaces it so you can compare it against the identity document you hold.
Your decision then feeds straight back into monitoring. Confirming a hit as a match keeps Ongoing Monitoring enabled for that hit, and marking it as not a match disables monitoring for that hit specifically, which reduces repeat false positives later.
ℹ️ Further guidance
Managing monitoring alerts
The Monitoring tab supports working through alerts in bulk, which is useful if you have a backlog built up under your previous settings.
Assign in bulk: select the relevant alerts and assign them to a reviewer in one action. With the auto-assign setting turned on, future alerts for those clients go to the same reviewer rather than reverting to unassigned.
Dismiss in bulk: select alerts and dismiss them together, recording a reason for the dismissal.
Mark as reviewed in bulk: clear alerts you have already worked through.
Legl Assist summaries: on a company alert, turn on the summarise option to get a more digestible version of the underlying information.
ℹ️ Further guidance
Risk Rules
Risk Rules enforce your firm's document and evidence standards at the point the client submits, rather than after your team reviews the request.
If your policy does not accept an unsigned passport, for example, a client who uploads one is prompted immediately to provide a signed document instead. Your team does not need to review the returned request, mark it as reviewed, create a new request and send it back out. Both your team and the client can see where the client was prompted and why.
Risk Rules cover a wide range of document and evidence standards, including additional proof of address requirements. To find out what can be enforced for your firm, speak to your Customer Success Manager or contact our Support team.
ℹ️ Further guidance
Key takeaways
Start with settings. Monitoring settings are the foundation for everything else in the lifecycle, so align them to your firm's risk policy before working through your alert backlog.
Analyse the impact of every change. Run Analyse impact before and after each toggle so you know exactly what a change does to your live alerts.
Small changes reduce a lot of noise. Turning off one alert type that is not relevant to your firm, such as non-domestic warnings, can noticeably reduce alert volume without any aggressive reconfiguration.
Your screening decisions carry forward. Marking a hit as not a match disables monitoring for that hit, so accurate review reduces future false positives.
Risk Rules remove the back-and-forth. Enforcing your evidence standards at submission means clients remediate in real time and your team does not have to chase.