Our AML Compliance Checklist comes in an Excelformat for ease of use and customisation and consists 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 a customisable Excel format, using predefined question and assessment areas, along with 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:||3 Tabs (Excel)|
|FEATURES||Gap Analysis, Status & Priority Filters||FORMAT:||Excel|
|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|