MLRO Escalation

Restricted access

Internal escalation workspace for the Money Laundering Reporting Officer and authorised compliance personnel.

Access control

Restricted — authorised compliance personnel only

This workspace is visible only to the MLRO, deputy MLRO, and authorised compliance personnel. Escalation records are excluded from general matter visibility. Juris AI prepares internal escalation summaries only — it does not advise whether a suspicious activity report must or must not be filed. That determination rests solely with the MLRO.

No tipping off

Do not inform the client or any third party that an internal escalation or report is being considered. Restrict discussion of this record to authorised compliance personnel.

Escalation record fields

Escalation reason
Matter summary
Client summary
Risk indicators
Documents reviewed
Source of funds issues
Source of wealth issues
Sanctions / PEP concerns
Beneficial ownership concerns
Adverse media concerns
Internal notes
Decision log
SAR consideration field
Approval status

Open escalations

ESC-2024-014

Sanctions possible match — counterparty director

Escalated

ESC-2024-015

Unexplained third-party deposit — residential purchase

Awaiting compliance review

Draft only — compliance/legal review required.