Update a risk assessment from a meeting

You can use a transcript of a client meeting to prepare changes to the client's risk assessment. This option appears when meeting risk updates are enabled for your firm.

Prepare an update

1. Open the client's Risk assessment tab and choose Update from meeting.
2. Paste the transcript or choose a .txt, .vtt or .srt file. Files must be no larger than 1 MB and transcripts must be no longer than 200,000 characters.
3. Enter the meeting date. It cannot be in the future. You can also add the source, such as Zoom or Teams.
4. Confirm that the client knew the meeting was recorded.
5. Choose Prepare risk update. Reading the transcript can take up to a minute.

The transcript is kept on the client file as evidence. The recording confirmation is saved with the draft. You can open the transcript from the review screen. It follows your firm's records retention policy.

Review the proposed changes

Nothing in the risk assessment changes until the MLRO or deputy MLRO signs off in Certivus. Other firm users can read the proposal while they wait for the MLRO to review it.

Every proposed change shows the question, the current and proposed answers, a quote from the transcript, the speaker and a confidence label. Check the quotes carefully, especially where a change lowers the client's risk. Confidence is a guide, not a decision.

For each change, choose Accept, Edit or Reject. If you edit an answer, use one of the allowed answers for that question. You can add your own note. Observations show other points from the meeting with their quotes; they do not change the assessment.

Choose Sign off once every change has a decision. Check the counts in the confirmation, then confirm. Certivus saves the decisions and scores the assessment again. If nothing changed, you can still sign off to record the review.

To reject the whole proposal, choose Reject whole proposal and give a reason.

If you cannot sign off

If the assessment changed after the proposal was prepared, or the proposal expired, upload the transcript again to prepare a fresh update. Applied, rejected and expired proposals are read-only.

If the risk assessment cannot be scored, the screen explains why. Open the full risk assessment to check what needs attention before trying again.

Back to risk assessment returns directly to that client's Risk assessment tab, including after sign-off. The Overview summary opens the same tab.