MEDIUM PROGRAM — 16 to 100 staff — 85 documents

 

MODULE 01 — START HERE (3 docs)
1.1 Welcome to Your AML/CTF Program
1.2 AML/CTF Quick-Start Guide
1.3 12-Week Implementation Roadmap

MODULE 02 — CORE PROGRAM (5 docs)
2.1 AML/CTF Program — Part A (Governance, Risk & Controls)
2.2 AML/CTF Program — Part B (CDD & Reporting)
2.3 ML/TF/PF Risk Assessment
2.4 AML/CTF Evidence Index
2.5 AML/CTF Master Program Index

MODULE 03 — POLICIES (11 docs)
3.1 AML/CTF Governance Policy
3.2 AML/CTF Risk Assessment Policy
3.3 AML/CTF Compliance Officer Policy
3.4 AML/CTF Staff Training Policy
3.5 AML/CTF Personnel Due Diligence Policy
3.6 AML/CTF Recordkeeping Policy
3.7 AML/CTF Independent Review Policy
3.8 AML/CTF Privacy & Confidentiality Policy
3.9 AML/CTF Whistleblower & Protected Disclosure Policy
3.10 AML/CTF Outsourcing & Third-Party Reliance Policy
3.11 AML/CTF Reporting Group Policy

MODULE 04 — PROCEDURES (16 docs)
4.1 AML/CTF Governance & Oversight Procedure
4.2 AML/CTF Risk Assessment Procedure
4.3 AML/CTF Customer Due Diligence (CDD) Procedure
4.4 AML/CTF Ongoing CDD Procedure
4.5 AML/CTF Enhanced Due Diligence (EDD) Procedure
4.6 AML/CTF Politically Exposed Persons (PEP) Procedure
4.7 AML/CTF Sanctions Screening Procedure
4.8 AML/CTF Transaction Monitoring Procedure
4.9 AML/CTF Suspicious Matter Reporting Procedure
4.10 AML/CTF Threshold Transaction Reporting Procedure
4.11 AML/CTF Personnel Due Diligence Procedure
4.12 AML/CTF Incident & Breach Response Procedure
4.13 AML/CTF Control Effectiveness & Risk Update Procedure
4.14 AML/CTF Program Update & Change Management Procedure
4.15 AML/CTF Regulator Liaison & Reporting Procedure
4.16 AML/CTF Independent Review Execution Procedure

MODULE 05 — FORMS & TEMPLATES (20 docs)
5.1 CDD Form — New Client Onboarding
5.2 EDD Form — High-Risk Customer
5.3 PEP Identification Checklist
5.4 Beneficial Ownership Declaration Form
5.5 Sanctions Screening Checklist
5.6 Customer Risk Scoring Guide
5.7 Ongoing CDD — Periodic Review & Update Form
5.8 Source of Funds / Wealth Declaration Form
5.9 Transaction Monitoring Alert Form
5.10 Suspicious Matter Report — Internal Referral Form
5.11 Breach & Incident Report Form
5.12 Staff Training Attendance Record
5.13 Training Evaluation & Competency Checklist
5.14 Employee AML/CTF Acknowledgement Form
5.15 AMLCO Appointment Letter
5.16 Board / Senior Management Quarterly AML Report Template
5.17 Board & AMLCO Meeting Minutes Template
5.18 Annual Declaration to Senior Management Template
5.19 Third-Party Reliance Due Diligence Form
5.20 Independent Review Scope & Terms of Engagement

MODULE 06 — REGISTERS (13 docs)
6.1 Customer Due Diligence Register
6.2 High-Risk Customer Register
6.3 PEP Register
6.4 Sanctions Screening Register
6.5 Suspicious Matter Reporting Register
6.6 Transaction Monitoring Alerts Register
6.7 Incident & Breach Register
6.8 Independent Review Findings Register
6.9 Training Register
6.10 Personnel Due Diligence Register
6.11 Document Change & Version Control Register
6.12 Third-Party Reliance Due Diligence Register
6.13 AUSTRAC Correspondence Register

MODULE 07 — GUIDANCE (11 docs)
7.1 AML/CTF Glossary of Terms
7.2 AML/CTF Legislation Reference Index
7.3 Audit Readiness Checklist
7.4 Red Flags & Suspicious Activity Indicators
7.5 Recordkeeping Checklist
7.6 AML/CTF Annual Compliance Checklist & Self-Assessment
7.7 AML Implementation Plan
7.8 Program Review Plan & Schedule
7.9 Board / Senior Management AML Reporting Guide
7.10 Independent Review Scope & Plan
7.11 Industry Risk Assessment Examples

MODULE 08 — TRAINING (4 docs)
8.1 AML/CTF Staff Training Pack
8.2 AML/CTF Mandatory Staff Training Presentation
8.3 AML/CTF Training Quiz
8.4 AML/CTF Training Module Guide

MODULE 09 — SELF-ASSESSMENT (2 docs)
9.1 Risk Assessment Summary Sheet
9.2 Proliferation Financing Risk Guidance