Anti-Money Laundering Compliance Review
This comprehensive anti-money laundering compliance review ensures full regulatory compliance with Bank Secrecy Act, USA PATRIOT Act, FinCEN SAR Requirements. Designed for BSA/AML Compliance Officer professionals to maintain safety standards and pass regulatory inspections.
- Industry: Financial Services
- Frequency: Monthly
- Estimated Time: 45-60 minutes
- Role: BSA/AML Compliance Officer
- Total Items: 32
- Compliance: Bank Secrecy Act, USA PATRIOT Act, FinCEN SAR Requirements
Initial Assessment
Core financial services safety and compliance checks for initial assessment.
- Suspicious Activity Review
- Ctr Filing Accuracy
- Sar Filing Timeliness
- Customer Screening
Detailed Inspection
Detailed inspection of anti-money laundering compliance review components.
- Ofac Sanctions Check
- Enhanced Due Diligence
- Transaction Monitoring
- Training Completion
Final Verification & Documentation
Final verification, documentation, and sign-off procedures.
- Policy Updates
- Regulatory Communications
Initial Setup & Documentation
Complete initial documentation and preparation
- Inspector / Assessor Name
- Date
- Location / Area
- Inspection Type
- Previous findings reviewed?
Safety & Compliance Verification
Verify all safety requirements are met
- All safety protocols being followed?
- Emergency exits clear and accessible?
- First aid supplies available and stocked?
- All hazards identified and controlled?
- Required PPE being worn correctly?
Operational Standards Check
Verify operational standards and procedures are maintained
- Standard operating procedures being followed?
- All equipment in proper working condition?
- Maintenance schedule current?
- All staff training current and documented?
Quality Assessment
Evaluate quality standards and performance metrics
- Quality standards met for all items checked?
- Any deficiencies or non-conformances identified?
- Root cause analysis completed for issues?
- Continuous improvement opportunities identified?
Environment & Conditions
Verify environmental conditions meet requirements
- Area clean and well-maintained?
- Adequate lighting in all areas?
- Ventilation adequate?
- Required signage visible and current?
Related Financial Services Checklists
- Know Your Customer (KYC) Compliance Checklist
- Annual Financial Regulatory Compliance Review
- Fraud Detection & Prevention Review
- Investment Suitability Assessment Review
- Financial IT Security Audit Checklist
- Financial Data Backup & Recovery Verification
- Bank Teller Cash Drawer Balancing
- Loan Document Verification Checklist
Related Compliance Risk Checklists
- AML / KYC Daily Compliance Check - FREE Download
- AML/KYC Customer Verification Checklist - FREE Download
- Know Your Customer (KYC) Compliance Checklist - FREE Download
- Annual Financial Regulatory Compliance Review - FREE Download
- Fraud Detection & Prevention Review - FREE Download
- Investment Suitability Assessment Review - FREE Download
- Financial Institution Business Continuity Test - FREE Download
- Trust & Fiduciary Account Audit - FREE Download
- Consumer Complaint Management Review - FREE Download
- Third-Party Vendor Risk Assessment - FREE Download
Why Use This Anti-Money Laundering Compliance Review?
This anti-money laundering compliance review helps financial services teams maintain compliance and operational excellence. Designed for bsa/aml compliance officer professionals, this checklist covers 32 critical inspection points across 8 sections. Recommended frequency: monthly.
Ensures compliance with Bank Secrecy Act, USA PATRIOT Act, FinCEN SAR Requirements. Regulatory-aligned for audit readiness and inspection documentation.
Frequently Asked Questions
What does the Anti-Money Laundering Compliance Review cover?
This checklist covers 32 inspection items across 8 sections: Initial Assessment, Detailed Inspection, Final Verification & Documentation, Initial Setup & Documentation, Safety & Compliance Verification, Operational Standards Check, Quality Assessment, Environment & Conditions. It is designed for financial services operations and compliance.
How often should this checklist be completed?
This checklist should be completed monthly. Each completion takes approximately 45-60 minutes.
Who should use this Anti-Money Laundering Compliance Review?
This checklist is designed for BSA/AML Compliance Officer professionals in the financial services industry. It can be used for self-assessments, team audits, and regulatory compliance documentation.
Can I download this checklist as a PDF?
Yes, this checklist is available as a free PDF download. You can also use it digitally in the POPProbe mobile app for real-time data capture, photo documentation, and automatic reporting.