Finance · Compliance & Regulatory
AML procedures
A written set of steps staff follow to detect, review, and report suspected money laundering and related financial crime.
What it usually contains
- Customer due diligence and identity verification steps, including enhanced checks for higher-risk clients
- Transaction monitoring rules, alert thresholds, and escalation paths
- Sanctions and politically exposed person screening procedures
- Suspicious activity reporting timelines, forms, and internal sign-off
- Record retention periods, staff training requirements, and the compliance officer's duties
What the assistant uses it for
Use it to answer how a firm verifies customer identity, when an alert must be escalated or reported, and who is responsible for each step. It also covers required training, record keeping, and the risk tiers applied to customers and transactions.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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