Anti-Money Laundering Compliance Self-Assessment Form
Evaluate your organization's AML compliance practices with this focused self-assessment. Please answer each item honestly to help identify strengths and areas for improvement.
How would you rate your organization’s overall AML policy framework?
*
1
2
3
4
5
Does your organization have a designated AML compliance officer?
*
Yes
No
How frequently does your organization conduct AML risk assessments?
*
Annually
Every 2-3 years
Less frequently
Never
Please indicate your level of agreement with the following statements regarding AML controls.
*
Rows
Strongly Disagree
Disagree
Neutral
Agree
Strongly Agree
Our AML policies are regularly reviewed and updated.
1
2
3
4
5
Staff receive ongoing AML training.
6
7
8
9
10
Transaction monitoring systems are effective.
11
12
13
14
15
Suspicious activity is reported promptly.
16
17
18
19
20
How confident are you in your organization’s ability to detect suspicious transactions?
*
Not confident
1
2
3
4
Very confident
5
1 is Not confident, 5 is Very confident
Which best describes your organization’s approach to customer due diligence (CDD)?
*
We have a formal CDD process for all clients
CDD is performed only for high-risk clients
CDD is informal or ad-hoc
No CDD process in place
How often are staff trained on AML compliance?
*
At least annually
Every 2-3 years
Less frequently
No formal training
How effective are your organization’s record-keeping practices for AML compliance?
*
1
2
3
4
5
What is the biggest AML compliance challenge your organization faces?
Please Select
Keeping up with regulations
Staff training and awareness
Transaction monitoring
Customer due diligence
Reporting obligations
Other
Please provide any additional comments or suggestions regarding your AML compliance program.
Submit Assessment
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