Maintain a defensible control framework aligned to your regulatory obligations.
| Control | Category | Status | Priority | Owner | Last Review | Evidence |
|---|---|---|---|---|---|---|
Transaction-Monitoring Scenario Coverage Assurance Checks that the firm's monitoring rules actually cover the risks the firm faces, so no major money-laundering pattern is left with no rule watching for it. | Transaction Monitoring | Not Started | High | Unassigned | Not set | 7 |
Transaction-Monitoring Threshold Tuning Regularly tests and adjusts monitoring rule settings so the firm catches real risk without drowning analysts in pointless alerts, with evidence for every change. | Transaction Monitoring | Not Started | High | Unassigned | Not set | 7 |
Onboarding Fraud & Identity Controls At sign-up the firm checks the applicant is a real, unique person using their genuine identity and device, blocking fake, stolen and bulk-created accounts before they open. | Customer Due Diligence | Not Started | High | Unassigned | Not set | 5 |
Monitoring Coverage Reconciliation The firm regularly proves that every account and every payment is actually being watched by its monitoring system, so nothing slips through an un-monitored gap. | Ongoing Monitoring | 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 |
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.