Overview
You can see every individual and business at your firm that has no Risk Assessment, alongside those whose latest Risk Assessment is in progress, completed or closed. Use it to find the contacts you still need to risk assess, and start a Risk Assessment for them straight from the list.
The list opens from two places: the No risk assessment tile on the Risk Assessments dashboard, and the Risk assessments card on the Compliance overview.
Before you start
Risk Assessments must be enabled for your firm.
To open the list from the Compliance overview, you need the View MLRO oversight permission.
To start a Risk Assessment from the list, you need the Start risk assessments permission. Without it, Click to start is greyed out. Ask an Admin to turn it on for you.
If your firm uses access permissions, the list and its counts only include the contacts you have access to.
How to find contacts without a Risk Assessment
From the Risk Assessments dashboard
Go to Risk Assessments.
Select the No risk assessment tile. It shows how many contacts have no Risk Assessment.
The list opens below the tiles, showing only contacts with no Risk Assessment.
To see contacts at other stages, change the Status filter. Under + Filter, you can also filter by CDD status. You can search by contact name.
From the Compliance overview
Go to Insights > Compliance. If your firm is using the legacy dashboard, this shows as MLRO oversight. Open it and select View new dashboard.
Find the Risk assessments card. Its main figure is the number of contacts with no Risk Assessment, and it breaks your contacts down into No risk assessment, In progress, Completed and High risk.
Select a line on the card to open the list filtered to those contacts, or select the card itself to see every contact.
From a contact's page
To check a single contact, open their contact page and look at the Risk rating card.
If the contact has no Risk Assessment, the card shows Start Risk Assessment. Select it to start one.
If the contact has a Risk Assessment, the card lists each one with its status, its rating and a View button.
Reading and filtering the list
Each row is one individual or business. The columns are:
Contact: the contact's name. Select it to open the contact or business.
Type: Individual or Business.
Risk assessment: the status of the contact's latest Risk Assessment. Select it to open the Risk Assessment. If there is none, this shows None.
Risk rating: Low, Medium or High. This stays blank while a Risk Assessment is being completed or updated.
Completed: the date the latest Risk Assessment was completed.
When you open the list from the Compliance overview, you can filter by Status, Template, Risk rating, CDD status and Completed between, and search by contact, client or matter.
Status: No risk assessment, In progress, Ready for review, Escalated, Completed or Closed.
CDD status: Reviewed, Ready for review or No CDD. This applies to individuals only, so businesses are hidden while it is set.
Completed between: a date range for when the latest Risk Assessment was completed.
Starting a Risk Assessment from the list
Find a contact whose Risk assessment column shows None.
Select Click to start. The Risk Assessment opens with the contact already selected.
Complete the Risk Assessment as normal.
What happens next
Once you start a Risk Assessment for a contact, they move out of No risk assessment and into In progress. The counts on the tile and the card update the next time the page loads.
Important information
Each contact shows their latest Risk Assessment. An open Risk Assessment is shown ahead of a closed one, so Closed means every Risk Assessment for that contact has been closed.
In progress includes Risk Assessments that are being updated.
High risk counts contacts whose latest Risk Assessment is rated High and has not been closed.
A Risk Assessment that covers more than one contact counts once for each of them. Trusts and vessels are not included in the list or the counts.
The High risk figure on the Risk assessments card comes from each contact's latest Risk Assessment, so it can differ from other high-risk figures on the Compliance overview.
If you need more help
If you have a question about finding contacts without a Risk Assessment, contact our Support team.