1.2 Private Watchlist

Instructions for adding Private Watchlist.

There are two ways to add Private Watchlist records:
  1. Add a record using the Private Watchlist window. When you add a new record, it appears on the Private Watchlist grid. To add Identifier Watchlist records follow the subsequent steps:
    1. From the Navigation List, click Watchlist Management.
    2. From the Navigation List, click Private Watchlist. The Private Watchlist Screen displays.
    3. Click Add Add.
    4. In a Add Private Watchlist window, enter the values for all the fields listed in the List of fields for Private Watchlist table .

      Table 1-1 Search fields for Private Watchlist

      Record Name Description Mandatory Field Matching attribute Accepted Values
      WatchList Id This is the system generated unique identifier for every private watchlist record. - - -
      Is Active This field describes if the private watchlist record is active or not. This can be changed by user. If the value is selected as N, this record is not considered for screening. Mandatory for both Individual and Entity - Y or N
      Entity Name Enter the entity's name. (This field is mandatory if the watchlist record is an Entity) Mandatory for Entity Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Jurisdiction Enter the jurisdiction that applies to the private watchlist record. You can also select a jurisdiction for the record and click Search. - - The list of jurisdictions configured in the Oracle Financial Services Customer Screening Cloud application. For example:
      • AMEA
      • APAC
      • MEX
      WatchList Type Enter the watch list type. You can also select a watch list type for the record and click Search.

      Note: For 314a scenario, you can select the 314a WatchList Type from the WatchList Type drop-down.

      		Mandatory for both Individual and Entity - Private watchlist / 314a watchlist
      WatchList Sub Type Enter the watch list subtype. You can also select a watch list sub type of a record and click Search.

      Note: If you have selected the 314a WatchList Type then you must select the 314a from Watchlist Sub Type drop-down.

      		Mandatory for both Individual and Entity - SAN/PEP/EDD/314a

      Note: You can add multiple values. You can choose from a drop-down list.

      Entity Type Enter the entity type. You can also select an entity type of a record and click Search. - - Individual (I) or Entity (E)
      Entity SubType Enter the entity subtype. You can also select an entity subtype of a record and click Search. - - -
      Title Enter the title used to refer to the individual. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Full Name Enter the individual's full name. (This field is mandatory if the entity type of watchlist record is an Individual) Mandatory for Individual Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Given Name Enter the individual's given name. (This field is mandatory if the entity type of watchlist record is an Individual) Mandatory for Individual Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Family Name Enter the individual's Family name. (This field is mandatory if the entity type of watchlist record is an Individual) Mandatory for Individual Yes You can add multiple values. Use a semicolon (;) to separate each value.
      DOB Enter the individual date of birth or the entity date of incorporation. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      City Enter the city where the individual resides or the state in which the entity is registered. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Birth Country Code Enter the country code of the individual's country of birth. - - ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list.

      Aliases Enter the individual's or entity's alias. - - You can add multiple values. Use a semicolon (;) to separate each value.
      Address Country Code Enter the country code of the address provided in the Address field. - Yes ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list.

      Address Enter the address where the individual resides or the address where the entity is registered. - Yes

      You can add multiple values. Use a semicolon (;) to separate each value.
      Gender Enter the individual's gender. - Yes The list of gender values configured in the Master Data is supported by the Oracle Financial Services Customer Screening Cloud application
      Entity Registration Number Enter the entity registration number or company registration number (CRN) from the registered company. - - You can add multiple values. Use a semicolon (;) to separate each value.
      Entity Registration Country Code Enter the code of the country in which the entity is registered. - Yes ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list..

      Entity Operating Country Codes Enter the code of the country where the entity is headquartered. - Yes ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list..

      Identity Number Enter the number used to identify the individual or entity. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Identity Country Enter the name of the country which issues the identification document. - - ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted

      Note: You can add multiple values. You can choose from a drop-down list.

      Identity Type Enter the document used to identify the individual. - - The following identification types are accepted:
      • Passport
      • SSN/ITIN
      • EIN
      • TIN
      • Driver's License

      Note: You can add multiple values. Use a semicolon (;) to separate each value.

      Nationality Country Code Enter the code of the country where the individual resides. - - ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list.

      State Enter the state where the individual resides or the state in which the entity is registered. - - You can add multiple values. Use a semicolon (;) to separate each value.
      Risk Score Enter the individual's or entity's final risk score. - - -
      Residency Country Code Enter the individual's residence. - Yes ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list..

      Postal Code Enter the postal code of the individual or entity's address. - - You can add multiple values. Use a semicolon (;) to separate each value.
      Passport Enter the individual's passport number. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Passport Country Enter the name of the country that has issued the individual's passport. - - ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list.

      Occupation Enter the individual's occupation. - - Occupations configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.
      Further Information Enter any additional details about the private watchlist records. - - -
      Other Party Name This field is an addition to alias name and required to capture additional details about the entity. Enter the name required to capture beneficiary owner, local name or linked entity name with private watchlist records. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Description Provide a brief description for 'Other party name'. You can filter the records in the private watchlist using the Description field. - - -
      Address Country Code Enter the Country Code. - - ISO2 country codes configured in the master data in the Oracle Financial Services Customer Screening Cloud application are accepted.

      Note: You can add multiple values. You can choose from a drop-down list.

      Street Enter the Street Name. - - You can add multiple values. Use a semicolon (;) to separate each value.
      Phone Enter the Phone Number. - - -
      Middle Name Enter the Middle Name. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Aliases Family Name Enter the Aliases Family Name. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Aliases Given Name Enter the Aliases Given Name. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Entity Name Business Strip Enter the Entity Name Business Strip. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      SSN Enter the SSN. - Yes You can add multiple values. Use a semicolon (;) to separate each value.
      Alias Middle Name Enter the Alias Middle Name. - - You can add multiple values. Use a semicolon (;) to separate each value.
      Alias Title Enter the Alias Title. - - You can add multiple values. Use a semicolon (;) to separate each value.
      Incorporated Enter the Incorporated. - - -
      Tracking Number Enter the Tracking Number.

      Note:This field is applicable for Individuals and Entities on the 314a Watchlist only.

      		- - -
      Fincen Notification Date Enter the Fincen Notification Date.

      Note:This field is applicable for Individuals and Entities on the 314a Watchlist only.

      		- - Only one value of Fincen Notification Date is accepted.
      Fincen Upload List This field is updates automatically to Y when the private watchlist records are obtained form the Fincen file.

      Note:This field is applicable for Individuals and Entities on the 314a Watchlist only.

      		- - Y or N
      Electronic Address Type Select the list of electronic address types from the drop-down list to include information about email IP address and Websites.

      Note:This field is applicable for Individuals and Entities on the 314a Watchlist only.

      		- - The list of following values are accepted:
      • Secure E-Mail Address
      • Internet Protocol Address
      • E-Mail Address
      • Web Site Address
      • IP Address

      Note: You can add multiple values. Use a semicolon (;) to separate each value.

      Electronic Address Enter the email, IP address or website address for the private watchlist records.

      Note:This field is used as a matching attribute for 314a screening .

      		- Yes You can add multiple values. Use a semicolon (;) to separate each value.

      Note:

      • Character Length and Data Type information can be found in the Field Specification Guide on the MOS page.
      • Multiple values are supported.

        Table 1-2 Multiple values

        Drop-down list fields Manually enter fields

        For the following fields, you can choose values from the drop-down list.

        • Address Country Code
        • Nationality Country Code
        • Watchlist Subtype
        • Residency Country Code
        • Entity Registration Country Codes
        • Entity Operating Country Codes
        • Passports Country
        • Birth Country Code
        • Identity Country

        For the following fields, you can enter the values manually.

        Use a semicolon (;) to separate each value.

        • Date of Birth (DOB)
        • Identity Type
        • Identity Number
        • Postal Code
        • Passport
        • City
        • Aliases
        • Title
        • Full Name
        • Given Name
        • Family Name
        • Entity Registration Number
        • Address
        • State
        • Street
        • Other Party Name
        • Entity Name
        • Middle Name
        • Aliases Family Name
        • Aliases Given Name
        • Alias Middle Name
        • Alias Title
        • Entity Name Business Strip
        • SSN
        • Electronic Address
        • Electronic Address Type
    5. Click Save to save the record.

      Note:

      To add a 314a Watchlist record the 314A Watchlist Admin Role should be mapped to any of the user group of the current user. Add the role - '314a watchlist admin role' to the relevant user group (For example: CS Analyst). Map the security mapping for the case type CS_314a from the Security Mapping UI.

      For more information about assigning the user role, see Using Admin Console.

  2. To add or edit Private Watchlist records in bulk, perform the following actions:
    • Export the Private Watchlist,
    • Use the columns available in the exported file as a template to upload private watchlist records as follows:
      • To add a new private watchlist record, add a new row and values in the applicable columns.
      • To edit a private watchlist record, use the exported file and change values in the applicable columns for an existing private watchlist record
      • To make a private watchlist record as inactive, use the exported file and change the ‘Is Active’ column to ‘N’ for an existing private watchlist record.

    Note:

    You cannot change the structure of the file.
    To add watch list data using the template, follow these steps:
    1. Click Export Exportto download the template in the .xls format.
    2. Enter the values in the required columns and save the file.
    3. Click Import Export. The file is uploaded and the records are displayed on the Private Watchlist grid.

    Follow the same steps to edit watch list data using the template.

    Note:

    • For new records while importing, keep the Watchlist ID field empty.
    • For updating existing records, you must provide the Watchlist ID.
    • The following fields are mandatory:
      • Is Active
      • Full Name
      • Given Name
      • Entity Name
      • Family Name
      • WatchList Type
      • WatchList Sub Type
    • DOB format must be YYYY-MM-DD.
    • For the WatchList Type field, you must enter the WatchList Type code, which is already available.
    • Multiple values are not accepted for the following field:
      • Entity Type
    • Use a semicolon (;) to separate multiple values in supported fields when importing data.