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|