AML Compliance Monitoring Checklist

AML Compliance Monitoring Checklist
Use this checklist to document AML monitoring reviews, note risk indicators, compare expected and actual activity, and record disposition or escalation actions.
Reviewer and Case Details
AML Reviewer Name
First NameLast Name
Reviewer Role / Team
Review Date
MonthDayYear
Date
Monitoring Period Start
MonthDayYear
Date
Monitoring Period End
MonthDayYear
Date
Internal Case / Reference ID
Subject / Customer Type
Subject / Customer Reference
Monitoring Activity and Trigger
Trigger Reason / Alert Type
Other
Account / Product / Service Involved
Jurisdictions / Countries Involved
Other
Summary of Activity Under Review
Risk Indicators and Assessment
Risk indicators observed
Other
Expected vs actual activity comparison
Rows Expected Actual Variance
Transaction volume
Transaction frequency
Geographic exposure
Counterparty pattern
Funding source consistency
Overall risk severity
Risk level
Source of funds / source of wealth overview
Due Diligence Status and Disposition
Enhanced Due Diligence Status
Additional Documentation Needed
Review Disposition
Escalation Required
Escalation Destination or Owner
Follow-up Actions and Deadlines
Reviewer Comments / Notes
Should be Empty:

Select theme: