Maintain a defensible control framework aligned to your regulatory obligations.
| Control | Category | Status | Priority | Owner | Last Review | Evidence |
|---|---|---|---|---|---|---|
Cash Deposit Anomaly Monitoring Flags when a customer pays in cash that does not fit their declared business or income, so unexplained cash can be reviewed before it disappears into the system. | Transaction Monitoring | Not Started | High | Unassigned | Not set | 6 |
Activity vs Expected Profile Monitoring Compares what a customer actually does on the account with what they told you they would do at sign-up, and flags when the two no longer match. | Transaction Monitoring | Not Started | High | Unassigned | Not set | 6 |
Rapid Movement / Pass-Through Detection Spots money that arrives and leaves almost immediately, where the account is being used as a channel to move funds on rather than to hold or spend them. | Transaction Monitoring | Not Started | High | Unassigned | Not set | 6 |
Money-Mule & Network Detection Finds accounts being used by other people to receive and pass on dirty or stolen money, and links them together when they are part of the same ring. | Transaction Monitoring | Not Started | High | Unassigned | Not set | 6 |
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 |
SAR / STR Process & Timeliness A clear, fast route for staff to raise a suspicion, for the MLRO to decide, and for a report to reach the authorities on time without tipping off the customer. | Governance & Reporting | Not Started | High | Unassigned | Not set | 7 |
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 |
Alert & Case Backlog Management Stop financial crime alerts and cases piling up unworked by tracking how old they are, fixing the cause, and stepping in fast when the queue grows. | Governance & Reporting | Not Started | High | Unassigned | Not set | 6 |
Showing 1 to 8 of 8 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.