PILLAR I - POLICIES AND PROCEDURES COMPLIANCE PROGRAM
- Internal Policies, Procedures and Controls Manual
- Development
- Enhancement
- Template
- Gap Assessment
- Risk Management Program
- Business AML/CFT Risk Assessment
- Develop
- Enhance
- Conduct (Annually)
- Customer Risk Rating Assessment
- Develop
- Enhance
- Conduct (Annually)
- Customer On boarding / Know Your Customers (KYC)
- Customer Relationship Management System
- KYC Remediation / KYC Look back
- Transaction Monitoring Look back
- Suspicious Activity Report (SAR) Look-Back/Investigation
- Enhance Due Diligence (EDD)
- Sanctions False Positive Remediation
- Sanctions Gap Assessment
- PEP Remediation
- Assistance in Selecting
- Customer On-boarding System
- Transaction Monitoring Software Applications
- Document Management System
- Regulatory Compliance Database
- Customer Screening
- theList.pro System
- Assistance in Selecting Other Sanction Screening Solutions
- Implementation
- Setup program per department
