Each compendium is a complete governance suite - structured procedures, statutory references, and compliance checklists written by a qualified AAT accountant with 13+ years of senior finance experience.
SOP-001 - Firm-wide AML risk assessment procedure covering business-wide risk identification, rating, documentation and annual review.
SOP-002 - Standard Client Due Diligence procedure covering identity verification, beneficial ownership, and source of funds for all new client engagements.
SOP-003 - Enhanced Due Diligence procedure for high-risk clients, PEPs, high-risk third countries, and complex or unusual transactions.
SOP-004 - Simplified Due Diligence procedure for demonstrably low-risk clients where reduced CDD measures are appropriate under MLRs 2017 Reg. 37.
SOP-005 - Politically Exposed Persons identification and sanctions screening procedure covering OFSI, UN, EU, and HMRC consolidated list checks.
SOP-006 - Ongoing monitoring procedure for existing client relationships covering transaction monitoring, CDD refresh, and risk re-assessment.
SOP-007 - Suspicious Activity Report filing procedure covering NCA reporting, tipping off prohibition, consent requests, and record keeping.
SOP-008 - MLRO responsibilities, internal reporting structure, nominated officer duties, and annual MLRO compliance report procedure.
SOP-009 - AML training and staff awareness procedure covering induction training, annual refreshers, training records, and regulatory update briefings.
SOP-010 - AML record keeping and data retention procedure covering mandatory retention periods, storage standards, access controls, and secure disposal.
Includes all 10 Platinum Standard SOPs listed on this page, delivered securely as PDF via our Cloudflare R2 fulfillment engine.