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AML Checklist for Individuals

by James Harbach, from the Community

Downloads: 20+
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This AML checklist for individuals guides teams through KYC and due diligence steps for compliant onboarding. Capture client identity and country details, confirm US TIN, and collect certified proof of address and consent forms. Record Equifax results and flags such as watchlist, PEP, sanctions, SIP and RCA. Verify employment via internet searches, social media, business cards and company calls, and document meeting details. Include references, enhanced due diligence where needed, and assess source of wealth. Update internal systems like Qube and Maximizer, summarize findings, and set the next review date.

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Digitize any process, procedure or policy
Eliminate mistakes made by paper-based processes
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Confirm accountability and compliance with a digital log

With SafetyCulture you can

Digitize any process, procedure or policy
Eliminate mistakes made by paper-based processes
Create and share professional reports instantly
Confirm accountability and compliance with a digital log

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Community

This community page makes available free workplace checklists and templates created by other users within the SafetyCulture community. SafetyCulture has re-published this content and where possible, has credited the original author. SafetyCulture has not verified the accuracy, reliability or suitability of any community content. You agree that your use of any of this content is in accordance with SafetyCulture’s Terms and Conditions.