8 Step AML Compliance Checklist

 A 65-Point Framework for Success

Compliance teams are the critical gatekeepers responsible for identifying and putting a stop to financial crimes like money laundering. This interactive PDF checklist will help your organization successfully implement and monitor an effective AML program.

About This Checklist

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Financial intelligence units (FIUs) have issued a record number of fines in the millions and tens of millions of dollars against organizations for not having an effective anti-money laundering compliance program.

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Even as fines have been issued, financial organizations see regulatory expectations changing.

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To protect them from high-risk transactions and potential bad actors, financial institutions must put processes and tools in place.

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Although not containing everything needed for a perfect AML compliance program, the following eight-step checklist covers the main areas where a financial institution will need to have policies and practices in place.

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Inside, we'll cover:

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  • What to look for in a Chief Compliance Officer
  • How to perform a risk assessment
  • How to maintain your AML compliance program
  • The steps required to apply effective due diligence
  • What goes into a successful sanctions screening program
  • And more!


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