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 Below are steps on how to review notifications sent to the compliance desk. ➔ From the main dashboard and click on reports as in fig below STEP 1: From the left-hand side menu click on “NFIU STR/SAR Revision”. See this feature in fig. 6.3a below.(fig. 6.3a) ➔ Clicking on “NFIU STR/SAR Revision” will display a page as in fig. 6.3b below. (fig. 6.3b) ➔ The notification(s) highlighted “RED” indicates that it has not been viewed by anyone on the reporting 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 reporting officer(s) ➔ The notification(s) highlighted “BLUE” indicates that it has been viewed by other reporting officer(s) excluding you You can increase the number of notifications you want to see per page by clicking on the ENTRIES box. Pick any number of entries per page of your choice. See fig. 6.3c below for an example.(fig. 6.3c) ➔ You can sort the notifications by clicking on any of the column header, either by alphabetical order or from the latest to the earliest notifications or vice-versa as shown in Fig 6.3d above (fig. 6.3d) ➔ Click on the VIEW box to see notifications classified according to the stage of processing they have gotten to. See fig. 6.3e for the classes of notifications available to a revision officer’s view. Select any of them. (fig. 6.3e) As seen in fig. 6.3e above, the classes are;

1. Revision Officer Pending Notification(s); these are notifications that have not been reviewed, i.e. they have not been attended to by a  revision officer. This is the default view of the revision desk.
2. Revision Officer Approved Notification(s); these are notifications that have been reviewed by a revision officer and approved by the revision desk team lead. These notifications will be forwarded to the supervising officer for further processing. Once a Notification is reviewed and approved, it joins the supervising officer pending Notification(s) list for further approval.
3. Revision Officer Rejected Notification(s); these are notifications that have been reviewed but rejected by team lead.
4. Pending Notifications Assigned to me; these are notifications that are assigned to you (a revision officer) by the revision desk team lead and are yet to be reviewed or treated by you.
5. My Notification(s) rejected by team lead; these are notifications that have been reviewed by you but not satisfactory to the revision desk team lead.
6. Pending Notification(s) assigned by me; these are notifications that you (i.e. if you are profiled as either team lead 1 or 2) assigned to other revision officers in your team and are yet to be treated or attended to. In this case you are the team lead.
7. Revision Officer All Pending Notification(s) Assigned; these are the notifications that have been assigned to a revision officer (or team member) by the team lead but are yet to be attended to.
8. Revision Officer All Pending Notification(s) Unassigned; these are the Notifications are yet to be assigned to any revision officer (or team member) by the revision desk team lead.
9. Revised Notification awaiting team lead’s attention; these are notifications that have been attended to by a revision desk team member but is yet to be reviewed or treated by the team lead.
10. Supervising Officer Rejected Notification(s); these are notifications that have been reviewed by revision officer and sent to supervising officer for further processing but were rejected by the supervising officer.
11. Supervising Officer Pending Notification(s); these are notifications that have been approved by revision team lead and await the supervising officer’s treatment.

➔ After selecting the class of Notification(s) from the VIEW box, Click on the view reports button to view the notification(s) from any of the selected class. This button is at the top-right corner of the page. See this in Fig6.3f below (fig. 6.3f) ➔ Also, you can search for a particular notification by typing in the customer’s name or account number concerned in the search box. The planet will make the search immediately. See fig. 6.3g for an example of a search. (fig. 6.3g) STEP 2: Select notification to be reviewed from the ‘REVISION OFFICER PENDING NOTIFICATION(S) list by clicking on the details button at the end of the notification row. NOTE: If you are not profiled as a Team Lead 1 or Team Lead 2 on Revision desk; all notifications revised by you will be forwarded to a Team Lead 1 or Team Lead 2 on revision desk for higher level approval. If the Team Lead 1 or Team Lead 2 approves, then it proceeds to the next higher desk. If the Team Lead 1 or Team Lead 2 rejects, then it is returned to you for your re-evaluation. (fig. 6.3h) STEP 3: By clicking on ‘DETAILS’, a console will be displayed as in fig. 6.3i. (fig. 6.3i) STEP 4: Click on the ‘Reason for Filing Suspicious Transaction Notification’ box to state your reason(s) for approving the notification. This step is compulsory if you want to accept the notification. See an example in fig. 6.3j below. (fig. 6.3j) STEP 5: Click on “Extra Details” box to enter in other comment. STEP 6: Click on “Action Taken” box to enter in action(s) taken concerning the suspicion filed. See an example in fig. 6.3k below (Note that this field is mandatory if you want to accept the notification). (Fig. 6.3k) STEP 7: Click on ‘Reason to Decline’ box (if you want to reject the notification) to enter in comments. This step is mandatory if you want to reject the notification. See fig. 6.3l for an example. (fig. 6.3l) STEP 8: Click on REJECT or ACCEPT. A confirmation console will be displayed 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. 6.3m and 6.3n to see a confirmation console 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. 6.3m) (fig. 6.3n) ➔ Irrespective of the decision you make to accept or reject the notification, the software will display a notification  at the top of the page.