{"id":35723,"date":"2023-12-29T05:11:25","date_gmt":"2023-12-29T05:11:25","guid":{"rendered":"https:\/\/www.process.st\/templates\/aml-screening-process\/"},"modified":"2024-03-05T16:11:21","modified_gmt":"2024-03-05T16:11:21","slug":"aml-screening-process","status":"publish","type":"post","link":"https:\/\/www.process.st\/templates\/aml-screening-process\/","title":{"rendered":"AML Screening Process"},"content":{"rendered":"\n<section id=\"perform-initial-identification-of-the-customer\"> \n <h2>Perform initial identification of the customer<\/h2>\n <div class=\"text-content\">\n   This task involves gathering basic information about the customer to initiate the screening process. It includes collecting the customer's name, address, contact details, and any other identifying information. The task is crucial as it sets the foundation for the rest of the process and ensures accurate identification. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Customer Name <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Customer Address <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Contact Number <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Date of Birth <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"gather-necessary-personal-and-financial-details\"> \n <h2>Gather necessary personal and financial details<\/h2>\n <div class=\"text-content\">\n   In this task, we need to gather additional personal and financial information about the customer. This includes details such as occupation, income, financial institution used, and other related information. Gathering this information is crucial to assess the customer's risk profile and potential involvement in money laundering activities. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Occupation <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Monthly Income <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Financial Institution Used <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Last Transaction Amount <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"verification-of-customer-identity-using-personal-details-gathered\"> \n <h2>Verification of customer identity using personal details gathered<\/h2>\n <div class=\"text-content\">\n   This task involves verifying the customer's identity using the personal details gathered in the previous task. It may include verifying the customer's identity through documents such as a passport or driver's license. The purpose is to ensure that the customer is who they claim to be, reducing the risk of identity fraud. \n <\/div> \n <div class=\"file-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Identity Verification Document <\/label> \n   <div class=\"file-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Document Expiration Date <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"input-collected-data-into-aml-screening-software\"> \n <h2>Input collected data into AML Screening Software<\/h2>\n <div class=\"text-content\">\n   This task requires inputting the collected customer data into the AML Screening Software. The software will use this information to perform automated checks and assessments for potential money laundering risks. This step ensures that the process is efficient and consistent. \n <\/div> \n <div class=\"file-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Data File <\/label> \n   <div class=\"file-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"automated-aml-risk-assessment-through-software\"> \n <h2>Automated AML risk assessment through software<\/h2>\n <div class=\"text-content\">\n   This task involves running an automated AML risk assessment using the AML Screening Software. The software will analyze the collected data and generate a risk score indicating the likelihood of the customer's involvement in money laundering activities. The outcome of this assessment will help determine the subsequent steps in the screening process. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Risk Score <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"approval-risk-assessment\"> \n <h2>Approval: Risk Assessment<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Automated AML risk assessment through software<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"crosscheck-information-against-aml-watch-lists\"> \n <h2>Cross-check information against AML watch lists<\/h2>\n <div class=\"text-content\">\n   The purpose of this task is to cross-check the customer's information against AML watch lists to identify any matches with known money launderers or individuals involved in illegal activities. This step is crucial in identifying high-risk customers and taking appropriate actions to mitigate potential risks. \n <\/div> \n <div class=\"select-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Watch List Matches <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Yes \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      No \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"determine-the-source-of-funds-used-by-the-customer\"> \n <h2>Determine the source of funds used by the customer<\/h2>\n <div class=\"text-content\">\n   This task involves determining the source of funds used by the customer. It aims to identify the origin of the funds and ensure they are legitimate. Proper determination of the source of funds is essential to prevent money laundering and other illicit activities. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Source of Funds <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"assess-transactions-for-any-suspicious-patterns-or-behaviors\"> \n <h2>Assess transactions for any suspicious patterns or behaviors<\/h2>\n <div class=\"text-content\">\n   In this task, we will assess the customer's transactions for any suspicious patterns or behaviors. This involves analyzing transaction history, amounts, frequency, and any other relevant factors to identify potential signs of money laundering or suspicious activities. Identifying suspicious patterns is crucial to prevent financial crimes and protect the integrity of the financial system. \n <\/div> \n <div class=\"multi-choice-content form-field-content\"> \n  <div class=\"form-group\"> <label> Suspicious Transaction Indicators <\/label> <select disabled class=\"form-control\"> <option value=\"\">Multiple options can be selected from this list<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Unusually large transactions \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Frequent transactions just under reporting thresholds \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Transactions involving high-risk countries \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"prepare-report-of-findings\"> \n <h2>Prepare report of findings<\/h2>\n <div class=\"text-content\">\n   This task involves preparing a report summarizing the findings from the AML screening process. The report should include details of the customer's risk assessment, any identified red flags, and recommended actions to be taken. The report will serve as a reference for decision-making and ensure compliance with regulatory requirements. \n <\/div> \n <div class=\"textarea-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Report Summary <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"approval-prepared-report\"> \n <h2>Approval: Prepared Report<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Prepare report of findings<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"submit-any-necessary-reports-to-relevant-authorities\"> \n <h2>Submit any necessary reports to relevant authorities<\/h2>\n <div class=\"text-content\">\n   In this task, we will submit any necessary reports to the relevant authorities. This may include suspicious activity reports or other mandated reporting requirements. Timely reporting to the appropriate authorities is crucial in combating money laundering and facilitating investigations into potential financial crimes. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Reporting Authority <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"date-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Submission Date <\/label> \n   <div class=\"date-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"perform-ongoing-monitoring-of-customers-transactions-and-risk-profile\"> \n <h2>Perform ongoing monitoring of customer's transactions and risk profile<\/h2>\n <div class=\"text-content\">\n   This task involves conducting ongoing monitoring of the customer's transactions and risk profile. It includes regularly reviewing and analyzing the customer's financial activities to detect any new suspicious patterns or changes in risk profile. Ongoing monitoring is essential in maintaining a proactive approach to AML compliance and addressing any potential risks promptly. \n <\/div> \n <div class=\"multi-choice-content form-field-content\"> \n  <div class=\"form-group\"> <label> Monitoring Activities <\/label> <select disabled class=\"form-control\"> <option value=\"\">Multiple options can be selected from this list<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Review transaction history \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Analyze changes in risk factors \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Conduct periodic reviews \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"update-customers-profile-and-risk-assessment-status-periodically\"> \n <h2>Update customer's profile and risk assessment status periodically<\/h2>\n <div class=\"text-content\">\n   This task requires updating the customer's profile and risk assessment status periodically. It entails reviewing and updating the customer's information, risk score, and any changes in their risk profile. Regular updates ensure that the customer's risk assessment remains up-to-date and aligned with any changes in their financial activities or risk indicators. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Risk Assessment Status <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"prepare-compliance-documents-if-required\"> \n <h2>Prepare compliance documents if required<\/h2>\n <div class=\"text-content\">\n   In this task, we will prepare any necessary compliance documents based on the findings and requirements of the AML screening process. This may include updating customer agreements, risk assessment forms, or other compliance-related documents. Proper documentation is essential in demonstrating adherence to AML regulations and ensuring the effectiveness of the overall AML screening process. \n <\/div> \n <div class=\"multi-choice-content form-field-content\"> \n  <div class=\"form-group\"> <label> Compliance Documents <\/label> <select disabled class=\"form-control\"> <option value=\"\">Multiple options can be selected from this list<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Customer Agreement \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Risk Assessment Form \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Policy Acknowledgement \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"audit-trail-documentation-for-the-process\"> \n <h2>Audit trail documentation for the process<\/h2>\n <div class=\"text-content\">\n   This task involves maintaining an audit trail of documentation for the AML screening process. It includes recording the steps taken, decisions made, and any relevant information throughout the process. Maintaining a comprehensive audit trail is crucial for transparency, accountability, and regulatory compliance. \n <\/div> \n <div class=\"file-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Audit Trail Documentation <\/label> \n   <div class=\"file-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"liaise-with-internal-compliance-team-on-updates-or-issues\"> \n <h2>Liaise with internal compliance team on updates or issues<\/h2>\n <div class=\"text-content\">\n   This task involves liaising with the internal compliance team to communicate any updates or issues related to the AML screening process. It is important to keep the compliance team informed about any changes in risk profiles, suspicious activities, or other matters that require their attention. Effective communication ensures coordinated efforts in mitigating AML risks. \n <\/div> \n <div class=\"members-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Compliance Team Member <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"approval-compliance-team\"> \n <h2>Approval: Compliance Team<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Prepare compliance documents if required<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"review-and-maintain-aml-policy-standards-and-procedures\"> \n <h2>Review and maintain AML policy standards and procedures<\/h2>\n <div class=\"text-content\">\n   In this task, we will review and maintain the AML policy standards and procedures. It involves periodically reviewing the existing policies and procedures to ensure they align with the current regulatory requirements and industry best practices. Regular maintenance of policy standards is essential in mitigating evolving AML risks and maintaining an effective AML compliance framework. \n <\/div> \n <div class=\"multi-choice-content form-field-content\"> \n  <div class=\"form-group\"> <label> Policy Standards and Procedures <\/label> <select disabled class=\"form-control\"> <option value=\"\">Multiple options can be selected from this list<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Review AML policy \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Update procedures \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Conduct policy training \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"schedule-next-aml-screening-process\"> \n <h2>Schedule next AML Screening process<\/h2>\n <div class=\"text-content\">\n   This task involves scheduling the next AML Screening process. Determining the frequency of the screening process and ensuring its regular execution is crucial in maintaining a robust AML compliance program. Scheduling future screenings helps ensure ongoing compliance and the continued effectiveness of the AML measures in place. \n <\/div> \n <div class=\"date-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Next Screening Date <\/label> \n   <div class=\"date-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section>\n","protected":false},"excerpt":{"rendered":"<p>Perform initial identification of the customer This task involves gathering basic information about the customer to initiate the screening process. It includes collecting the customer's name, address, contact details, and any other identifying information. The task is crucial as it sets the foundation for the rest of the process and ensures accurate identification. Customer Name [&hellip;]<\/p>\n","protected":false},"author":3,"featured_media":0,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"ep_exclude_from_search":false,"cover_icon_emoji":"\ud83d\udd0d","cover_icon_url":"","tasks_count":"20","template_description":"Explore our robust AML Screening Process, optimizing security with comprehensive identity verification, risk assessment, and reporting procedures.","template_id":"pAT7i0S3y7oP6rz8py9DIA","task_0":"Perform initial identification of the customer","task_slug_0":"perform-initial-identification-of-the-customer","task_1":"Gather necessary personal and financial details","task_slug_1":"gather-necessary-personal-and-financial-details","task_2":"Verification of customer identity using personal details gathered","task_slug_2":"verification-of-customer-identity-using-personal-details-gathered","task_3":"Input collected data into AML Screening 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