Maintain a defensible control framework aligned to your regulatory obligations.
| Control | Category | Status | Priority | Owner | Last Review | Evidence |
|---|---|---|---|---|---|---|
Firm-Wide Financial Crime Risk Assessment A written, evidence-based picture of where the firm is most exposed to financial crime, kept current, so money and effort go to the riskiest areas first. | Governance & Reporting | Not Started | Medium | Unassigned | Not set | 5 |
Board & Management Information Reporting Regular, honest numbers and trends about financial crime risk put in front of senior leaders, so problems are seen and acted on instead of being buried. | Governance & Reporting | Not Started | High | Unassigned | Not set | 6 |
Three Lines of Defence & Accountability A clear split of who owns risk, who oversees it, and who independently checks it, with named senior people accountable, so nothing falls through the gaps. | Governance & Reporting | Not Started | Medium | Unassigned | Not set | 5 |
Independent Assurance & Control Testing People independent of the day-to-day teams regularly test whether financial crime controls actually work, so weaknesses are found internally before a regulator finds them. | Governance & Reporting | Not Started | High | Unassigned | Not set | 7 |
Staff Training & Awareness Make sure everyone, especially front-line and high-risk roles, knows how to spot financial crime and what to do about it, and prove they have understood it. | Governance & Reporting | Not Started | Medium | Unassigned | Not set | 5 |
Showing 1 to 5 of 5 controls
This tool produces a control specification for design and discussion. It is not legal advice; validate thresholds, ownership and status against your own risk assessment and the cited sources before implementing. Your register is kept in this browser (not on a server); we only store the contact details you provide when you request an export.