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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