Transaction Monitoring Compliance Checklist
Free
A structured, 50-item self-assessment tool for compliance teams, MLROs, and AML/CTF officers in regulated financial institutions.
Regulators do not just ask whether you have a transaction monitoring programme. They ask whether it works. This checklist helps you answer that question.
What it covers:
TM Programme Design — risk-based foundation, documentation, governance, and accountability
Detection Rules & Scenarios — typology coverage, threshold calibration, and scenario validation
Alert Handling & Investigation — review standards, escalation, and documentation quality
Suspicious Activity Reporting — internal and external SAR/STR process and controls
Oversight & Continuous Improvement — QA, management reporting, and training