AML/CTF Compliance Checklist (Free)
AML/CTF Compliance Checklist (Free)
Use this checklist to:
- Review your AML/CTF program against core Act and Rules requirements
- Confirm you have covered ML/TF risk, CDD, reporting & recordkeeping
- Support annual AML/CTF compliance reporting and internal reviews
- Identify gaps to raise with your AML/CTF Compliance Officer or adviser
Clear & actionable
Simple steps you can tick off as you go.
Lawyer‑prepared
Built around current Australian legal requirements.
Easy to reuse
Print or reuse for your recurring reviews.
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About this Document
Use this checklist if you:
- Are a reporting entity under the AML/CTF Act and Rules
- Need a structured way to review your current AML/CTF set‑up
- Are preparing for an AUSTRAC review, independent audit or internal assurance work
- Want a simple, practical tool to guide Board or committee updates
It is suited to:
- AFSL holders, credit providers, remitters and other financial services businesses
- Casinos, wagering businesses and other Tranche 1 sectors
- AML/CTF Compliance Officers, risk teams and internal auditors
- Consultants supporting AUSTRAC‑regulated entities
What this checklist covers:
- AML/CTF program structure (Part A and Part B) and appointment of an AML/CTF Compliance Officer
- ML/TF risk assessment and ongoing review
- Customer due diligence (CDD), including enhanced due diligence for higher‑risk customers
- Employee screening and training obligations
- Transaction monitoring, SMR and TTR reporting
- Sanctions screening and tipping‑off awareness
- Recordkeeping periods and document types
- Independent review and audit frequency
You receive a free PDF you can use as a working document for reviews, file notes and Board papers.
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Stuart Hill
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Jason Lowry
Co-Founder, LPG"Could not recommend Click Legal more highly! Must have for start ups and small business owners looking to trust someone to help set up your business right!"
Jason Gold
Managing Director, IT Pro Tech"At IT Pro Tech, we partner with businesses who share our commitment to integrity. Click Legal stands out in the legal space for exactly that. Hannah and the team impressed us with their deep understanding of compliance-heavy sectors and their ability to offer clear, practical legal advice without overcomplicating the process."
Guy Raven
Head of Surveillance Advisory, Westpac"Hannah demonstrated exceptional leadership and regulatory expertise. She played a pivotal role in developing the control room and establishing a strong regulatory compliance framework... Beyond her deep technical knowledge, Hannah is an outstanding mentor, approachable, and insightful."
Antonella Spatola
Founder, True To You Charity"Hannah at Click Legal has supported the board in establishing our documentation and legal framework to start on a solid footing. We appreciate her authentic interest in the charity's mission... We appreciate how she explains complex concepts in simple terms, avoiding legal jargon."
Sharon Yang
Head of Investment & Capital Mgmt"Hannah and Click Legal have provided reliable legal advice to us. It has been integral in helping us meet all our AFSL obligations with confidence. I highly recommend their services to any business needing compliance support."
Jason Watts GAICD
Managing Director, Neu Capital"Hannah blends rare regulatory expertise with sharp business acumen. As her Manager at Barclays, I watched her master APRA/ASIC frameworks and turn them into clear, actionable strategies... She's the kind of professional who simplifies complexity, and her integrity is unmatched."
Stuart Hill
Program Manager/Operations Manager"Hannah has exceptional depth of knowledge and expertise in building robust legal, risk, and compliance frameworks... Beyond her technical expertise, Hannah is a strategic thinker and a genuinely kind, friendly person who always supports and helps others."
Jason Lowry
Co-Founder, LPG"Could not recommend Click Legal more highly! Must have for start ups and small business owners looking to trust someone to help set up your business right!"
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Request your FREE consultation & our senior lawyers will contact you to discuss your situation.
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