AML/CFT Audit Checklist Form
Complete this checklist to review AML/CFT controls, note deficiencies, and record follow-up actions for the audit period.
Audit Scope and Review Context
Entity or Department Being Audited
*
Audit Period or Review Date Range
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Audit Type
*
Internal Audit
Compliance Review
Independent Review
Other Relevant AML/CFT Review
Jurisdiction or Operating Region
*
Please Select
Domestic
Regional
International
Multi-jurisdictional
Other
Reviewer Name or Role
*
Overall Audit Status
*
Not Started
In Progress
Completed
Follow-up Required
AML/CFT Control Checklist
AML/CFT control areas assessment
*
Rows
Compliant
Partially compliant
Non-compliant
Not applicable
Comments / evidence notes
Customer due diligence / KYC process
1
2
3
4
Enhanced due diligence for higher-risk cases
5
6
7
8
Sanctions / PEP screening
9
10
11
12
Transaction monitoring
13
14
15
16
Suspicious activity escalation / reporting
17
18
19
20
Recordkeeping
21
22
23
24
Training
25
26
27
28
Governance / oversight
29
30
31
32
Policy / procedure updates
33
34
35
36
Deficiencies and observations
Overall control status
*
Please Select
Compliant
Partially compliant
Non-compliant
Not applicable
Evidence reviewed
Root cause summary
Risk impact
Please Select
Low
Moderate
High
Critical
Recommended follow-up priority
Please Select
Immediate
Short-term
Medium-term
Monitor
Findings and Follow-Up
Number of Findings Identified
*
Severity of Findings
*
Low
Medium
High
Critical
Corrective Action Required
*
Yes
No
Corrective Action Owner
Target Completion Date
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Evidence or Documentation Requested
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Final Auditor Remarks or Summary
Submit Audit Checklist
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