Case management is a conductor to a comfortable decision-making environment designed for managing manual tasks related to verification in Sumsub. Having an outstanding place for handling with cases brings the following benefits to your working process:

• You can manage all kinds of cases in one place, regardless of its destination (KYC, KYT, etc).
• Check the team performance transparently and assign new tasks to your compliance officers.

How it works

When going to Case management, you will able to access:

• Queues
• Cases
• AML cases
• Operations & Control

Review queues

The Queues section contains a lists of cases assigned to compliance officers for manual review. There are three types of pages available in queues:

• Applicants
• Transactions
• AML cases

Applicants

The Applicants page contains a list of applicants assigned to you and those that require manual actions. On this page, you can select any applicant profile for review and manage their verification results as needed.

Transactions

The Transactions page contains a list of transactions assigned to you and those that require manual actions. You can make a decision by changing the transaction status after thoroughly analyzing the transaction data.

To change the transaction status, select any of the following actions:

• Approve/Reject. Lets you change the transaction status respectively. Alternatively, you can use this API method.
• Confirm. Lets you mark a transaction as Confirmed and remove it from the queue. This option is available only for approved and rejected transactions.
• Assign. Lets you assign a transaction to the dedicated compliance officer. Once assigned, the transaction will appear in the Assigned to me queue that belongs to the selected officer.
• Assign to me. Lets you change the transaction assignee to yourself and review the transaction manually in case you are the only person possessing the required expertise.
• Awaiting user. Lets you suspend a transaction until some applicant information is received, e.g. you are waiting for a cryptocurrency exchange to confirm the counterparty data, an applicant passes the Liveness & Face match check or provides requested documents.
• Put on hold. Lets you suspend a transaction in case you need extra time or assistance to provide the final verdict.
• Re-score. Lets you recalculate transaction risk score based on the additional information or adjusted rules. Alternatively, you can use this API method.
• Delete. Lets you permanently delete the selected transaction and all related information.

AML cases

The AML cases page includes a list of watchlist screening matches in applicants and counterparties triggered by the AML rules during monitoring. From this page, you can manage any AML case by selecting it from the list.

Review Cases

Cases help you streamline transaction monitoring by allowing officers to consolidate multiple alerts for one applicant into a single case. The feature aids in managing workload efficiently and enables the analysis of transaction patterns to support and enhance decision-making.

In the main page view, you can find three tabs dividing the cases into different stages:

• Active cases
• Assigned to me
• Resolved cases

Case statuses

There are the following statuses in which a case may be:

• Open — a case has been created and is waiting for an officer’s review.
• Under review — a case is being reviewed by an officer.
• Awaiting user — an applicant’s response/action has been requested.
• On hold — a case has been postponed due to some reasons.

Add transaction to case

Transactions can be added to a case manually or via Rules:

• In the Dashboard, go to Transactions and Travel Rule, select the checkbox on the left of the transaction name and click Add to case.
• In the Dashboard, go to Transactions and Travel Rule, open any transaction from the list, and click Add to case on the upper right corner.
• Go to an applicant profile and open the Transaction monitoring tab, select a transaction from the Applicant Transactions list, and click Add to case.

To add transactions via rules:

1. In the Dashboard, open the Rules page.
2. Select a rule from the list and click Edit.
3. in the Create case block, select the Create with the matched transaction checkbox.

When done, all transactions triggering the rule will be added to a case for a further review. For example, you can set up this process with the Multiple transactions with the same amount for the last 1 day rule and review the similar amount transactions more thoroughly via Cases.

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Important

Transactions related to different applicant profiles cannot be added to the same case.

Change case status

The status of a case can be changed on the top of the page. For example, in the beginning you click Start case review and it’s status goes from Open to Under review.

Once everything is done and the decision has been made, you should select Resolve and identify the result. Select an option in Resolution (False positive or Valid threat) and leave a resolution note if needed.

Change transaction status

During case management, you can also change the status for each individual transaction. To do so, you should select the checkbox on the left of the transaction name and select Approve, Reject, or Pending. You can also sign the transaction as confirmed in case of confirmation of the status that has been given to it automatically.

When selected, a transaction can also be removed from a case.

Conduct post monitoring

The main business solution offered and provided via Sumsub’s Cases is post monitoring. The essence of the feature is that you can analyze your applicants’ patterns by analyzing their transactions for a particular period of time, conduct a complex review, and make a decision.

Review all AML cases

All AML cases contain a list of all AML matches triggered throughout the history of your verifications.

Operations & Control

The Operations & Control page was created for managers to monitor their team performance on reviewing the tasks. It provides a comprehensive set of graphs and adjustments that help you see various statistics and understand how is it going with the checks in your team.

Settings

You can create custom queues to track risky transactions according to your business specifics:

1. Open the Queue settings and click Create queue.
2. Provide a queue title and optional description.
3. Select officers that will be assigned to the queue.
4. Configure the queue settings as required and click Create queue.