Policies written separately contradict each other.
And that contradiction is what an examiner finds. One interview, one consistent set: change the retention period once and every document that references it changes with it.
The interview is the work. The documents fall out of it.
The catalogue
The AML core. These are the AML documents. The exact set is confirmed
with you, for your regime and your products.
Policies9
- AML and Sanctions Program Policy
- Record Retention Policy
- Training Policy
- Complaint Handling Policy
- Whistleblower Policy
- Third Party Risk Management Policy
- Privacy Policy
- Fraud and Identity Theft Prevention Program
- Compliance and Risk Committee Charter
Procedures6
- Client Identification and Due Diligence
- Transaction Monitoring
- Sanctions Screening
- Enhanced Due Diligence and Investigations
- Complaint Management
- Vendor Onboarding