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Anti-Money Laundering · Available now

Review AML controls and follow the evidence through remediation.

Anti-Money Laundering runs the evidence and review cycle for an AML control program. A team defines business-unit risks, links controls to those risks, plans an assessment period and records control test samples.

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  • No per-user fees
  • Manual work is free
  • Configure it in Proto
OverviewAssessment Worklist
Anti-Money Laundering · Assessments

Assessment Worklist

Approval conditions

New assessment
Assessments in view
6
Draft
2
Planned
1
Testing
1
Record numberSubjectStatusPeriod startPeriod endOwner
ASS-42993Cross-border transfers, Q3 2026Draft24 Oct02 NovJonas Berg
ASS-73528Merchant onboarding, Q3 2026Planned01 Nov10 NovPriya Kapoor
ASS-72855Correspondent banking, H2 2026Testing11 Oct15 OctSofia Dobrev
ASS-64157Cash activity monitoring, Q3 2026Review26 Oct04 NovAyo Mensah
ASS-70881Sanctions screening, Q4 2026Remediation14 Oct23 OctHassan Diallo
6 of 6 records
Cross-border transfers, Q3 2026Assessments · ASS-42993
Draft
Period start24 Oct
Period end02 Nov
OwnerJonas Berg
Revision220
Approve scopeASS-42993 · Cross-border transfers, Q3 2026

Independent Reviewer approves the scoped assessment revision before testing begins.

Waiting for Independent Reviewer
ApproveReturn
Example screen with sample data
Tables, ready to use
18
Saved views
16
Roles with set permissions
6
Reports and dashboards
8
Features

Keep AML assessment work visible

Every feature works on the same records. Pick one to see the screen your team works in.

Risk and Scope Planning

Agree on the risks, controls and assessment period before testing begins.

  • Risk context
  • Control ownership
  • Assessment scope
  • Organizations
  • Business units
  • Team members
  • Risks
  • Controls
  • Assessments
Explore risk and scope planning
OverviewRisk Register
Anti-Money Laundering · Risk and Scope Planning

Risk Register

Risks

New
TitleBusiness unitLikelihoodImpactScale versionOwner
Cross-border transfer exposureNorth Quay Trading550410Risk scale 2024.1Nadia Rahman
Merchant shell entity exposureRidgeway Private Clients800440Risk scale 2024.2Nadia Rahman
Correspondent bank opacityCedar Harbor Payments680690Risk scale 2025.1Laila Haddad
Cash structuring exposureStonebridge Treasury30520Risk scale 2025.2Priya Kapoor
Sanctions match oversightNorth Quay Trading100510Risk scale 2026.1Sofia Dobrev
6 of 6 records
Cross-border transfer exposureRisks · RSK-67161
Business unitNorth Quay Trading
Likelihood550
Impact410
Scale versionRisk scale 2024.1
OwnerNadia Rahman
Example screen with sample data
Process

From scoped risks to verified corrective work

AML assessment and follow-up ships ready to use. 3 steps need a named approval before the work moves on: Approve scope (Independent Reviewer), Review results (Independent Reviewer) and Disposition alerts (Independent Reviewer).

Drag a card to another stage, or focus it and use the arrow keys. It updates to match the stage.

  1. Scope risks

    Define business-unit risks and the controls to examine during the assessment period.

    Cross-border transfers, Q3 2026ASS-42993 · AML Program Manager
    Scope risksBy AML Program Manager

  2. Approve scope

    Review the scope and planned testing before work begins.

    Cross-border transfers, Q3 2026ASS-42993 · Independent Reviewer
    Approve scopeBy Independent Reviewer
    ApprovalIndependent Reviewer approves the scoped assessment revision before testing begins.

  3. Test controls

    Record sample outcomes with the evidence needed for review.

    Cross-border transfers, Q3 2026ASS-42993 · AML Program Manager
    Test controlsBy AML Program Manager

  4. Review results

    Decide on the submitted revision and identify corrective work.

    Cross-border transfers, Q3 2026ASS-42993 · Independent Reviewer
    Review resultsBy Independent Reviewer
    ApprovalIndependent Reviewer decides whether the submitted evidence supports assessment approval.

  5. Disposition alerts

    Review submitted alerts in their assessment context.

    Cross-border transfers, Q3 2026ASS-42993 · Independent Reviewer
    Disposition alertsBy Independent Reviewer
    ApprovalIndependent Reviewer approves or rejects the alert disposition from the submitted evidence.

  6. Retest findings

    Verify corrective work with an independent retest before closure.

    Cross-border transfers, Q3 2026ASS-42993 · Independent Reviewer
    Retest findingsBy Independent Reviewer

Start with Scope risks and approve the assessment plan

Inside a record

Follow the assessment evidence

Open any assessment to see its assessment tests, the roles that work on it, its process stages and its approvals on one page.

  1. 1
    Record details

    Period start, Period end, Owner and Revision.

  2. 2
    Assessment tests

    Each line is linked to this assessment.

  3. 3
    Who works on it

    Admin, AML Program Manager and Control Tester, each with their own permissions.

  4. 4
    Process stages

    Scope risks and Approve scope, with the role that acts.

  5. 5
    Approvals

    Approve scope and Review results, with who decides.

Assessment WorklistCross-border transfers, Q3 2026
Anti-Money Laundering · Assessments

Cross-border transfers, Q3 2026

Draft

Log activity
1
Record details
Period start24 Oct
Period end02 Nov
OwnerJonas Berg
Revision220
2
Assessment tests

Cross-border transfers, Q3 2026

ParentLine numberControl
Cash activity monitoring, Q3 2026480Daily sanctions list screening
Transaction alerts, Q4 2026120High-risk client refresh review
Transaction alerts, Q4 2026830Cash activity threshold monitoring
Assessment tests
6
Total line number
3,860
3

Who works on it

  • AdminManage Organizations, business units, team members, Users
  • AML Program ManagerManage business units, Risks, Controls, Assessments, monitoring…
  • Control TesterManage assessment tests, record attachments
4

Process stages

  • Scope risksAML Program Manager
  • Approve scopeIndependent Reviewer
5

Approvals

  • Approve scopeIndependent Reviewer
    Approved
  • Review resultsIndependent Reviewer
    Waiting
Example screen with sample data
Approvals

Decide from reviewed evidence

OverviewApprovals
Anti-Money Laundering · Overview

Approvals

Signed in as Independent Reviewer

Waiting for you

4 To review1 Overdue2 Decided todayOnly mine
0 selectedApproveReturn
  • CA-89501alert-review-1182.pdf
    Duplicate transaction alert closureRequested by Nadia Rahman
    Submitted1dActions
  • CA-12878ownership-check-042.pdf
    Expired agent due diligence fileRequested by Laila Haddad
    Submitted1dActions
  • CA-96952screening-log-aug.pdf
    Expired agent due diligence fileRequested by Hassan Diallo
    Submitted3dActions
  • CA-38412override-approval-017.pdf
    Missing beneficial owner review evidenceRequested by Mei Tan
    Submitted3dActions

Who approves what

DecisionApprover
Approve scopeReview the scope and planned testing before work begins.Independent Reviewer
Review resultsDecide on the submitted revision and identify corrective work.Independent Reviewer
Disposition alertsReview submitted alerts in their assessment context.Independent Reviewer
Approve Assessments, monitoring alerts, corrective actions, FindingsIndependent Reviewer
Approve access grantsData Custodian
5 approval rules · set per role in Proto
Example screen with sample data
Who can approve what
Roles

A workspace for each role

Everyone opens Anti-Money Laundering to the work that is theirs. Pick a role to see what it starts with.

Admin

Maintains organizational reference data and configures scoped access without taking the independent review decision.

  • Manage Organizations, business units, team members, Users
  • View Controls, Assessments, operation receipts

Roles and permissions

Reports

See unresolved findings and review work

Understand control outcomes, unresolved findings and guarded action exceptions.

Overview
Anti-Money Laundering · Overview

Anti-Money Laundering dashboard

This quarter

Monitoring alerts in view
6
Submitted
6

Assessments by status

How far records got this quarter

StageReachedStep
Draft28
Planned1761%
Testing1271%
Review650%

Revision by status

Sample totals per stage

10.0k0
7.0kDraft
9.0kPlanned
10.0kTesting
6.0kReview
4.0kApproved
Example screen with sample data
  1. 01Assessment Status by Business Unit

    Which assessments remain in testing, review or remediation for the selected period?

  2. 02Risk and Control Coverage

    Which business-unit risks have linked controls, and what scale version explains the risk scores?

  3. 03Control Test Outcomes

    Where do failed or inconclusive samples need attention, and what evidence supports the results?

  4. 04Finding Severity and Status

    Which severe findings remain unresolved within the assessment?

  5. 05Corrective Action Due Review

    Whose actions are overdue, and which completed actions still await verification?

  6. 06Monitoring Alert Decisions

    Which alerts await disposition, and which have a recorded decision time?

  7. 07Restricted Subject Access and Disclosure

    What access and disclosure activity belongs to each restricted subject?

  8. 08Guarded Operation Exceptions

    Which actions need investigation before the team can rely on their outcome?

All reports and dashboards

Who it's for

Organize your AML control program

See how Anti-Money Laundering fits your kind of team.

Banking control teams

Review AML controls across defined banking business units.

Payment operations compliance teams

Review surveillance alerts alongside the controls being assessed.

Group compliance functions

Coordinate assessment evidence and remediation across business units.

Controls

Keep outcomes tied to their evidence

Each stage of aml assessment and follow-up names the role that acts and the status it records, so a change is never anonymous.

OverviewAML assessment and follow-up
Anti-Money Laundering · Process

AML assessment and follow-up

Each stage, the role that acts and the status it records

Process stages
10
Approval steps
3
Roles involved
5
Tables touched
18
Approve scopeApproval
Independent Reviewer
StatusDraft → Planned
RecordsOperation receipts, Review decisions, Assessments
Test controls
AML Program Manager, Control Tester
StatusPlanned → Testing
RecordsRecord attachments, Assessment tests, Assessments
Review resultsApproval
Independent Reviewer, AML Program Manager
StatusTesting → Review
RecordsReview decisions, Assessments, Findings
AML assessment and follow-up
  1. Start
    Approve scopeDraft → Planned
    Operation receipts
  2. Step
    Test controlsPlanned → Testing
    Record attachments
  3. Approval
    Review resultsTesting → Review
    Review decisions
  4. Approval
    Disposition alertsDraft → Submitted
    Operation receipts
  5. Approval
    Plan remediationOpen → action planned
    Corrective actions
Example screen with sample data

See each stage in detail

AI agent

Prepare your review work with Proto

Prepare assessment work and investigate evidence questions with Proto.

It can

  • AML Program Manager: List assessments in Review and show the owner, period and revision for the next review meeting.
  • Control Tester: Find Pending samples and identify the evidence reference and control that need attention.
  • Independent Reviewer: Compare the submitted assessment revision with its recorded decisions before preparing the next review.
  • Remediation Owner: List my overdue corrective actions and separate submitted work from verified work.

Stays with a person

  • Proto can prepare a review package and explain recorded work using the permissions of the acting account.
  • Independent Reviewer makes the assessment and alert decisions.
  • Data Custodian authorizes restricted-subject access and checks disclosure authority.
  • An assistant cannot establish a passing control result from missing evidence or close a finding from action completion alone.

Set up an agent

Integrations

Connects to the tools you use

Set up connections through ERP.AI and Proto workflows, with every change logged.

  • Anti-Money Laundering
  • Surveillance provider
  • Evidence repository
  • Identity directory
  • Subject authority records
Data model

Your data, in tables you can change

Every record lives in a table you can see, extend and export. Add fields or whole tables in Proto.

Browse all 18 tables
18tables
  • Risk and Scope Planning6
  • Control Testing4
  • Independent Review5
  • Monitoring Alerts4
  • Remediation and Retesting6
  • Restricted Subject Handling4
Implementation

Roll out one team at a time

Start with one team and one process, then add the rest once the basics are running.

  1. Agree the pilot scope

    Select a business unit and assessment period. AML Program Manager defines the risk scale, control ownership and evidence expectations. Identify an Independent Reviewer before preparing the first approval package.

  2. Prepare identities and records

    Admin maps user identities, organizations and team members. Load business units and controls in dependency order. Data Custodian agrees restricted-subject handling before any live subject information is introduced.

  3. Rehearse testing and review

    Prepare a scope revision, return it for correction and approve the corrected plan. Record a failed sample and an inconclusive one. Verify that missing evidence and excessive exception counts require correction before acceptance.

  4. Rehearse follow-up

    Submit monitoring alerts for distinct approved and rejected dispositions. Follow a finding through corrective work and an independent retest. Repeat an accepted guarded action and reconcile its original receipt.

  5. Review release readiness

    Test ordinary role accounts, direct record access and evidence downloads. Resolve overdue or ambiguous work in the pilot. Enable each agreed connection only after its source owner has reconciled the pilot result.

Read the implementation plan

Pricing

$0per user

The base account and everyday work in the ERP.AI app are free, for every user.

  • No per-user or per-seat fees
  • Viewing, editing, approving and exporting records in the app is free
  • Pay only for machine work: API calls, imports, workflows and AI agents
  • Prepaid credits from $5. Purchased credits never expire

Pricing details

Machine work rate card Included per $1 of credit

Machine work rate card
UsagePer $1
Record reads (list, filter, get)20,000
Search or aggregate queries4,000
Record writes4,000
Imported or synced records200,000
Workflow runs2,000
AI agent runs2,000
Scheduled jobs or webhooks20,000
File uploads (MB)2,000
CSV or PDF exports100
FAQ

Questions, answered

Scope, rollout and pricing for Anti-Money Laundering.

All questions
How do I get started?

Click Get started, then use Proto to configure Anti-Money Laundering for your business. Begin with a business unit, a defined assessment period and a control whose evidence the team can inspect. Name the Independent Reviewer and rehearse a returned decision before the first operating cycle.

What does an assessment contain?

It records the subject, business unit, owner, scope statement and period with planned testing and a revision. Linked samples hold the control result and evidence, while review decisions identify which revision was considered.

What happens when test evidence is incomplete?

The Control Tester keeps the result unresolved until the evidence supports a conclusion. Every performed sample needs an inspectable evidence reference before review, including a failed or inconclusive result. Missing evidence cannot establish Pass, and the exception count cannot exceed the sample tested. Independent Reviewer checks the evidence before accepting the assessment result.

Who approves the assessment?

Independent Reviewer decides on the submitted revision and records Approve, Reject or Return with a reason. AML Program Manager prepares the package and handles corrections. A changed scope needs a decision that applies to the current information.

How are monitoring alerts reviewed?

AML Program Manager links the alert to its assessment and prepares the provider context. Independent Reviewer approves or rejects the submitted disposition and records the decision time. A risk score helps organize attention; it does not establish wrongdoing.

When can a finding close?

Remediation Owner submits completed work with evidence. Independent Reviewer records a retest and accepts a passing outcome before the action is Verified and the finding is Closed. Failed or inconclusive retests keep the finding open for further work.

How do we handle an interrupted action?

Inspect the original operation key, expected revision and receipt result before retrying. Pending, Failed and Needs review outcomes need investigation. Reconcile the recorded business decision with the action result so the team does not repeat an already accepted effect.

How are restricted subjects handled?

Data Custodian records access purpose, retention and legal-hold context. Access grants identify the person, purpose, expiry and approver. A disclosure has its own recipient, scope and authority reference. Agree and test those access boundaries during setup.

Does the retention date remove a legal hold?

No. The date prompts a review of continued handling. Data Custodian checks the hold and the customer's approved policy before any retention action is considered. The date alone does not authorize deletion.

What should we connect during setup?

Arrange the surveillance-provider connection if alerts will arrive from another service, and confirm access to any external evidence repository. Map user identities to team members and agree ownership of subject authority references. Reconcile each connection in the pilot before widening its scope.

Set up Anti-Money Laundering your way.

Start free, then use Proto to change fields, steps and approvals before your team goes live.

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