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- Anti-Money Laundering
- Who it's for
- Payment operations compliance teams
Payment operations compliance teams
Payment operations teams may receive surveillance alerts from a specialist provider while their compliance team examines how related controls are working. Bring each alert into a defined assessment context, retaining the provider reference and detection time. The review process gives the Independent Reviewer an explicit decision to make from the available evidence.
How Anti-Money Laundering is set up for you
Provider context
Agree how alert identifiers are matched before configuring intake. AML Program Manager checks that the alert belongs to the selected organization and assessment. Similar subject references across separate organizations require careful handling during the pilot.
Disposition responsibility
Submitted alerts wait for independent review. Approved and Rejected outcomes remain distinguishable, and approved work reaches Completed only after the agreed follow-up. A risk score helps focus attention but does not establish a conclusion about the subject.
Control evidence
Test the control that governs the work using recorded samples and exception counts. Control Tester links the result to evidence so the reviewer can understand how the control operated during the assessment period.
Uncertain actions
When an operation has an unresolved outcome, inspect its receipt before trying again. The team needs to reconcile the recorded action and business decision together, especially after an interrupted submission or disposition request.
Payment operations teams may receive surveillance alerts from a specialist provider while their compliance team examines how related controls are working. Bring each alert into a defined assessment context, retaining the provider reference and detection time. The review process gives the Independent Reviewer an explicit decision to make from the available evidence.
Pilot an assessment for an alert-handling control with synthetic provider examples. Include an approved disposition, a rejected one and a submitted alert whose assessment context needs correction. Repeat an accepted operation to rehearse receipt reconciliation. Keep the provider connection limited to the agreed intake scope until ownership and evidence handling are understood. Add corrective work for a failed sample and confirm that the action owner cannot supply the independent retest decision. Review the assessment and alert queues together before broadening the operating scope.
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.
Set up Anti-Money Laundering your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.