AML Compliance Checklist

Our AML Checklist & Gap Analysis tool comes in 2 formats (Excel & Word) and covers 100+ assessment questions. The Excel version uses filters for reporting & gap areas and the Word version allows hard-copy physical reviews.

This checklist complies with MLR17 and aids in reviewing AML & CFT due diligence, risk assessment and procedure requirements in accordance with the FCA, FATF and MLR requirements.

£32.00 (ex vat)

Our AML Compliance Checklist comes in 2 formats to enhance user preference. Consisting of over 100 assessment questions, the checklist enables you to assess, review and evidence your compliance with 4MLD and MLR17, as well as the FCA’s financial crime expectations and rules.

The checklist comes in both Word and Excel formats, using the questions and assessment areas, but allowing the user to select their preferred method of auditing. The Excel version uses simple filter features (as oppose to complex formulas), to allow easy selection and reporting of gap and non-compliant areas. The filters provide users with options for displaying select critera and enhances management information and reporting, as well as providing automated colour-coded priority ratings.

AML Checklist & Gap Analysis
TYPE: Audit Checklist & Gap Analysis SIZE: 18 pages (Word) 3 Tabs (Excel)
FEATURES Gap Analysis, Checklist, Status & priority filters FORMAT: Word.doc & Excel
DELIVERY: Digital via Email CUSTOMISABLE: Yes
Assessment Criteria includes: –
Anti-Money Laundering Overview Using the Audit Checklist
Policies & Processes Training & Competency
Internal Controls Written Materials
Due Diligence Risk Assessment & Management
Outsourcing & Third Parties Record Keeping
Management Information Audits & Monitoring