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- Anti-Money Laundering
- Who it's for
- Group compliance functions
Group compliance functions
A group compliance function needs a consistent way to ask which units have reviewed their controls and which findings still require work. Each assessment retains its organization, business unit and period, while the linked evidence explains the outcome. Shared review practices can support comparison without losing the context behind a particular unit's risk scale.
How Anti-Money Laundering is set up for you
Declared assessment basis
AML Program Manager records the scope and the scale version used for likelihood and impact. Review the basis before comparing risks across units. A change in score interpretation needs attention even when the visible numbers look similar.
Independent review
Separate the person preparing the package from the Independent Reviewer. Record decisions against the submitted revision so a later scope change cannot be mistaken for previously approved work. Returned decisions should state what needs correction.
Remediation visibility
Use finding severity with action due dates to understand outstanding work. Submitted actions remain distinct from Verified actions. The program manager can follow a completed action through its independent retest before relying on finding closure.
Custodian responsibilities
Assign restricted subject handling to Data Custodian and agree the purpose of access. Check identity references and disclosure authority within the correct organization before information moves between teams.
A group compliance function needs a consistent way to ask which units have reviewed their controls and which findings still require work. Each assessment retains its organization, business unit and period, while the linked evidence explains the outcome. Shared review practices can support comparison without losing the context behind a particular unit's risk scale.
Choose a business unit and assessment period with an available control owner and independent reviewer. Rehearse a scope correction after submission, then follow a failed control sample through remediation. Ask a colleague from another unit to attempt access during the permissions check and confirm the agreed boundary. Use Operations Overview to discuss control-test outcomes and finding severity alongside the assessment records. Introduce additional units only after the team can explain the current approval revision and reconcile unresolved operation receipts. Keep external evidence and surveillance connections tied to their named system owners during expansion.
Features to start with
Roles on the team
- Admin
- Maintains organizational reference data and configures scoped access without taking the independent review decision.
- AML Program Manager
- Owns the assessment plan and prepares monitoring alerts for independent review.
- Control Tester
- Records control samples and the evidence needed for review within assigned assessments.
- Independent Reviewer
- Approves scoped assessment revisions, decides monitoring alerts and independently evaluates remediation evidence.
- Remediation Owner
- Owns the corrective work and submits completion evidence for an independent retest.
- Data Custodian
- Authorises purpose-limited subject access and records the scope and authority of disclosures.
Set up Anti-Money Laundering your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.