Overview
Procedures decide what happens inside your firm once an Engage request is ready for review and its checks have finished. They can send the request to the right reviewer, escalate findings that need a second look, show your own guidance to the reviewer and email the people who need to know.
Procedures work alongside Risk rules. Risk rules act with your client, asking them for the right information. Procedures act inside your firm, making sure the right people see and review it, with the reason recorded on the request.
What you can use Procedures for
Send requests with a potential PEP or sanctions match to your MLRO or compliance team
Escalate a source of funds that leaves more than an amount you set unexplained
Show reviewers your own guidance when a check does not come back clear, such as a financial search
Email your compliance team when certain scenarios come up, such as source of funds that includes cryptocurrency
How Procedures work
Each procedure has a trigger (WHEN) and an action (DO). Procedures run once per request, when it is ready for review and its checks have finished. What a procedure did stays recorded on the request, even if a finding is later dismissed or the procedure is turned off.
There are three types:
Review routing
Sends an Engage request that is ready for review to one reviewer when any scenario you choose comes up, for example a PEP, sanctions or adverse media match. You choose one user, which can be a shared compliance inbox account. They get an email explaining why the request has been assigned to them.
Your firm has one Review routing procedure, because an Engage request can only have one reviewer at a time. You can edit it or turn it off.
Onboarding review
Acts on the findings in the review screen. Procedures are grouped by area: Screening, Source of funds, Identity and fraud and Credit file. Each one can:
Mark as escalate: the finding is shown in red with the reason, prompting the reviewer to escalate it. It does not stop anyone completing the review.
Add reviewer guidance: your own instructions are shown on the finding, for example what to check or who to speak to.
Notifications
Emails the people you choose when any scenario you pick comes up on an Engage request that is ready for review. You can enter several email addresses and choose scenarios from any area. Each person gets one email per notification, listing everything that came up.
ℹ️ Further guidance
Where to find Procedures in Legl
Select Governance in the left-hand menu, then Procedures. There are two tabs:
Overview: before any procedures are on, this shows how many of the available procedures are live. Once they are running, it shows the actions taken on requests in review over the last 7 days, and a list of the procedures that ran.
Procedures: every procedure you can use. You can search, and filter by area or status (On or Available).
Permissions and access
Only Admins can set up, edit and turn procedures on or off.
Important information
Procedures are included in your Legl plan. To get started, select Get set up for free on the Governance page and our team will be in touch to turn them on.
Until your firm sets up a procedure, reviews work as they do today.
Procedures do not block a review. Anyone who can review the request can still complete it.
Procedures currently cover Engage requests. Procedures for risk assessments and ongoing monitoring are coming soon.
If you would like help, contact our Support team.