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
Plain‑English explanations
Complex rules explained in simple language.
Practical examples
Real‑world scenarios, diagrams & checklists.
Ready to share
Ideal for briefing leaders & training your team.
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Description
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, AML independent review 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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