Tag: Suspicious Transaction Report

The STR/SAR notification goes straight to the REVISION DESK team lead(s) when successfully sent. It is the duty of the revision team lead(s) to assign notifications to revision officer(s) to review the notifications sent to the compliance team. Below are steps on how to review notifications sent to the compliance desk:

Note that notifications attended to by team members will go to the team lead who can either accept or reject the team member’s decision (to accept or reject the notification). If a team member’s decision is rejected, the notification goes back to the team member to work on before it returns to the team lead. However, upon team lead’s approval the notification goes to the next desk i.e. supervision desk or revision desk (depending on the institution setting).

NOTE: Only Person(s) profiled as ‘revision desk officer’ can carry out these operations.

From the app dashboard, click on “REGULATORY REPORTS” as displayed in the image below.

This will display a drop-down, as shown in image below. The drop-down menu lists the report types available on the Compliance Planet software.

Click ‘NFIU STR/SAR’ on the drop-down list and display the STR/SAR page as displayed in the image below.

STEP 1: Click on “REVISION DESK” as displayed in the image below. Then click “DATA VIEW FILTER“.

Note that default page shows a list of Revision officer Pending Notifications i.e notifications that are yet to be attended to. These notifications are highlighted with different colours which are explained below.

• The notification(s) highlighted “RED” indicates that it has not been viewed by anyone on the revision desk.
• The notification(s) highlighted “GREEN” indicates that it has been viewed by you alone.
• The notification(s) highlighted “WHITE” indicates that it has been viewed by you and at least one other revision officer(s).
•  The notification(s) highlighted “BLUE” indicates that it has been viewed by other revision officer(s) excluding you.

STEP 2: Review a notification by clicking on the “Details” button at the end of the notification row.

STEP 3: By clicking on ‘DETAILS’, the STR REVISION DESK NOTIFICATIONS Page will display as in image below, then click on “HISTORICAL INVESTIGATION ANALYSIS“.

STEP 9: Click on “SCAN DOCUMENTS TO UPLOAD” to upload any documents that support the STR.
Next, click on “DECLINE” or “ACCEPT”—this will open a confirmation console to verify your selected action.
Ensure you are certain of your choice before proceeding, as this action is irreversible once confirmed.
Refer to the images below to see how the confirmation console appears when selecting “Decline” and “Accept” respectively.
To continue, click “CONFIRM” to exit the console without taking action, click CANCEL.

• Regardless of whether you accept or reject the notification, the software will display a temporary notification highlighted in green at the top of the page.

NOTE: If you are not profiled as a Team Lead on the Revision desk, all notifications revised by you will be forwarded to a Team Lead on the revision desk for higher-level approval. If the Team Lead approves, then it proceeds to the next higher desk. If the Team Lead rejects it, then it is returned to you for re-evaluation.

When an STR/SAR notification is rejected by the supervising officer, the notification can be revisited for re-processing by the revision officer.Below are steps on how to revise notifications that have been rejected by the supervising officer.

NOTE: You have to be profiled as a revision officer with rights to EDIT to be able to carry out this operation.

STEP 1: Click the VIEW box on the revision desk page; select ‘supervising officer rejected Notification(s)’.

(fig. 6.3r)

 STEP 2: Click on ‘VIEW REPORTS’ to see the Notifications as in fig. 6.3t below. On this page, the revision officer will be able to re-process Notification for approval again.

(fig. 6.3t)

• To see details of the Notification, click on ‘DETAILS’. Every notification still undergoing processing has this button at the end of its row.

STEP 3: Clicking on the DETAILS button (as shown in fig 6.3t above) will display a console which allows you to revisit the Notification. See fig. 6.3u below for an example.

(fig. 6.3u)

STEP 4: Edit the details you want to change. You can edit all information except the notification itself. This means you can change the Reason for filing report, General information about transaction activity, Extra details, Action taken and reason to decline.

STEP 5: Click on REJECT or ACCEPT. This displays a confirmation console to confirm your selected action. Check that you are sure of your options before rejecting or accepting the notification as this step cannot be reversed once confirmed. See fig. 6.3v and 6.3w to see a planet inquiry when you decide to ‘reject’ and when you choose to ‘accept’ respectively. To proceed, click on CONFIRM and to cancel the review, click on CANCEL.

(fig. 6.3v)                                                                       (fig. 6.3w)

NOTE: Only person(s) Profiled as Team Lead 1 or Team lead 2 can carry out these operations.

STEP 1: To assign Notification(s) to any member on the revision desk team, go to the VIEW box still on the revision desk page; select ‘Revision Officer All Pending Notifications Unassigned’, then click on the “view report” button.

(fig. 6.3x)

STEP 2: Click on the checkbox beside the report type to select the Notifications you want to assign. See an example in Fig 6.3y below

      (fig. 6.3y)

STEP 3: Click on the action center button as shown in in Fig 6.3z below

(fig. 6.3z)

STEP 4: Click on “Assign Pending Notification” from the action center dropdown. See an example in Fig 6.3aa below

                                                                        (fig. 6.3aa)

STEP 5: Clicking Assign Notification will display a “Review Desk Officers Task Assignment” dashboard as shown below in fig 6.3 ab below

   (fig. 6.3ab)

STEP 6: Select the officer you want to assign the Notification. This is shown in fig 6.3ac below

   (fig. 6.3ac)  

STEP 7: Click on “Proceed to Assign Task” to proceed or “cancel” to close the console and dismiss the operation.

         (fig. 6.3ad)

STEP 8: Clicking on “proceed to assign task” will display a console to confirm your selected action. See an example in Fig 6.3ae       below. To proceed, click on CONFIRM and to dismiss the operation, click on CANCEL.

                                                            (fig. 6.3ae)

NOTE: Only person(s) profiled as Revision desk team lead 2 can carry out this operation.

STEP 1:To re-assign Notification(s) to any member on the revision desk team, Click the VIEW box still on the NFIU STR/SAR revision page; select ‘Revision Officer All Pending Notifications assigned’, then click on the “view report” button. See fig 6.3af for an example.

(fig. 6.3af)

STEP 2: Click on the checkbox beside the report type to select the notification you want to re-assign. See an example in Fig 6.3ag below

(fig. 6.3ag)

STEP 3:          Click on the action center button as shown in in Fig 6.3ah below.

(fig. 6.3ah)

STEP 4: Click on “Re-Assign Notification” from the action center dropdown. See an example in Fig 6.3ai below

(fig. 6.3ai)

STEP 5: Clicking Re-Assign Notification will display a “Review Desk Officers Task Re-Assignment” dashboard as shown below in fig 6.3 aj below

   (fig. 6.3aj)

STEP 6: Select the officer you want to assign the Notification and click on proceed to assign task. This is shown in fig 6.3ak below

            (fig. 6.3ak)     

STEP 7: Click on “Proceed to Re-assign Task” to procced or ‘cancel” to close the console and dismiss the operation. See an example in Fig 6.3al below

                                            (fig. 6.3al)

STEP 8: Clicking on “proceed to re-assign task” will display a console to confirm your selected action. See an example in Fig 6.3am below. To proceed, click on CONFIRM and to dismiss the operation, click on CANCEL.

                                                                                                 (fig. 6.3am)   

NOTE: This action can only be done by person(s) profiled as either Team Lead 1 or Team Lead 2

STEP 1: Click on the checkbox beside the report type to select the Notifications you want to delete on the ‘Revision Officer pending Notification’ page. See an example in Fig 6.3an below

  (fig. 6.3an)

• You can also select all Notifications on the page by clicking on the checkbox at the top. See an example in fig 6.3ao below

(fig. 6.3ao)

STEP 2: Click on the “Delete Notification(s)” button on the action center dropdown as shown  in Fig 6.3ap below           

                                                                                                                     (fig. 6.3ap)

STEP 3: Clicking on “Delete Notification(s)” will display a console to confirm your selected action. See an example in Fig 6.3aq     below. To proceed, click on CONFIRM and to dismiss the operation, click on CANCEL.

(fig. 6.3aq)

• Click on ‘CONFIRM’ as in fig. 6.3aq above to delete the Notifications or cancel to discontinue action.

For further enquiries : 
Tel +234(0) 816 555 9818
Email solutions@efuelite.com 
Web http://solutions.efuelite.com

The next stage of processing after revising an STR/SAR notification is the SUPERVISION STAGE. Only Notifications that have been approved by the revision desk team lead(s) will be pushed to the supervision desk. Here are the steps to supervising a suspicious transaction Notification.

NOTE: Only person(s) profiled as ‘supervision desk officer’ with the right to edit can carry out these operations.

How to supervise a fresh notification

From the app dashboard, click on ‘REGULATORY REPORTS’ as in the image below.

This will display a drop-down as in the image below. The dropdown lists the report types available on the Compliance Planet software.

Click “NFIU STR/SAR” from the drop-down menu to open the NFIU STR/SAR page. See the image below.

STEP 1: From the top menu, click on “SUPERVISION DESK” as in the image below.

The above action will display the Supervision Desk Page as seen in the image below. Then select the “DATA VIEW FILTERS”.

• The Notification(s) highlighted “RED” indicate that it has not been viewed by anyone on the Supervising desk.
• The Notification(s) highlighted “GREEN” indicate that it has been viewed by you alone.
• The Notification(s) highlighted “WHITE” indicates that it has been viewed by you and at least one other Supervising officer.
•  The Notification(s) highlighted “BLUE” indicates that it  has been viewed by other Supervising officer(s), excluding you

At the top-right and bottom-right corners of the page, the software gives information about the number of pages, with the page numbers written out. All the page numbers represent buttons to go to each page.
By clicking on any page number, the software takes you to that particular page. Click on the “NEXT “button to take you to the next page.
Click the “PREVIOUS” button to return to the page you were viewing earlier.

STEP 2: Select the notification to be treated from the ‘SUPERVISION OFFICER PENDING NOTIFICATION(S) by clicking on the “Details” button at the end of the notification row, as in the image below.

 The “STR OPERATION” shows if there are Deleted STR Notifications, Approved STR Notifications, Rejected STR Notifications, and Pending STR Notifications associated with that specific account.

The “SAR OPERATION” shows if there are Deleted SAR Notifications, Approved SAR Notifications, Rejected SAR Notifications, and Pending SAR Notifications associated with that specific account.                    

•  Click on the “ENTRIES” box to increase the number of Notifications you want to see per page.
• Click on the “SORT” box to sort the notifications either by alphabetical order or from the latest to the earliest notifications, or vice-versa, as shown.

STEP 4: Click on “CUSTOMER KYC COMPLIANCE” to view the missing data for the specific account, as shown in the image below.

Click on “Provide KYC Information to Clear Exception(s)” to navigate to the page shown below, where you can enter the missing details. Then, click on “Submit Data Procedure” to proceed to the confirmation page. 

Click “CONFIRM” to upload the data or click “CANCEL” to exit the confirmation process.

If the account has no exceptions, it will appear as shown in the image below.

STEP 5: Click on the ‘Reason for Filing Suspicious Transaction Report’ box to edit the revision officer’s reason(s) for approving the Notification. This step is optional. See an example in the image below.

STEP 6: Click on “Extra Details” box to edit the revision officer’s comment and click on the “Action Taken” box to edit action(s) taken concerning the suspicion filed. See an example in the image below.

STEP 7: Click on ‘Reason to Decline’ box (if you want to reject the notification) to input your comments. This step is mandatory if you want to reject the notification. See the image below for an example.

STEP 8: Click on “SURVEILLANCE CASES” to view the account’s cases, as illustrated in the image below.

STEP 9: Click on “SELECT DOCUMENTS TO UPLOAD” to add additional documents that support the STR.
Next, click on “REJECT” or “ACCEPT”—this will open a confirmation console to verify your selected action.
Ensure you are certain of your choice before proceeding, as this action is irreversible once confirmed.
Refer to the images below to see how the confirmation console appears when selecting “Reject” and “Accept” respectively.
To continue, click CONFIRM; to exit the console without taking action, click CANCEL.

For further enquiries: 
Tel: +234(0) 816 555 9818
Email: solutions@efuelite.com 
Web: http://solutions.efuelite.com

STEP 1: Click on the ‘VIEW’ box and select ‘REPORTING OFFICER REJECTED NOTIFICATION(S)’. See fig.            6.4r below for an example.

(fig. 6.4r)

 ➔       Click on ‘VIEW REPORTS’ to see the notifications. On this page, the supervising officer will be able to re-process Notification for approval again.

STEP 2: To see details of the STR Notification, click on ‘DETAILS’. Every notification still undergoing processing has this button at the end of its row

(fig. 6.4s)

STEP 3: Clicking on the DETAILS button will display a console which allows you to revisit the notification. See fig. 6.3t below for an example.

                                                                                                                 (fig. 6.4t)

STEP 4: Edit the details you want to change. You can edit all information except the notification itself. This means you can change the Reason for filing report, General information about transaction activity, Extra details, Action taken and reason to decline.

STEP 5:          Click on REJECT or ACCEPT. This displays a confirmation console to confirm your selected action. Check that you are sure of your options before rejecting or accepting the notification as this step cannot be reversed once confirmed. See fig. 6.4u and 6.4v for the confirmation console displayed when you decide to ‘reject’ and when you choose to ‘accept’ respectively. To proceed, click on CONFIRM and to cancel the review, click on CANCEL.

(Fig. 6.4u)                                                                                 (fig. 6.4v)

Note: You have to be profiled as a supervisor with rights to edit

For further enquiries : 
Tel +234(0) 816 555 9818
Email solutions@efuelite.com 
Web http://solutions.efuelite.com