AML/CTF Reporting

Use AML / CTF on the Single Site Reporting page to review the site’s anti-money laundering and counter-terrorism financing program: stored program documents, approvals, compliance officer appointments, AML training, activity counts, submitted forms, and issues.

The report page title is AML CTF. For all 12 report types, see Site Wide Reporting.

Note: Single Site Reporting is available to Managers and above, including Line Managers.

Open the AML/CTF report

  1. Log in to the ComplianceTrackr desktop portal.
  2. In the left menu, open Reporting Dashboard.
  3. Select Single Site Reporting.
  4. On the Single Site Reports screen, select AML / CTF.

Program storage

The first card is titled AML/CTF. Use Program Storage and Version Control and Select Item to choose the stored AML/CTF program document.

After you choose an item, the status on the card updates to:

  • Active — a program document is selected and available
  • Inactive — the selected item is not active
  • Error occurred — the status could not be loaded

If no item is selected, the status area stays empty.

Approvals

The Approvals card records three completed AML/CTF forms:

  • Senior Management Program Approval
  • Senior Management Risk Assessment Approval
  • Board Endorsement Program and Risk Assessment

Each row uses Select Form. The list shows completed AML/CTF forms for the site. You must choose three different forms. A form already chosen in one dropdown is disabled in the others.

Card status:

  • Not Selected — fewer than three different forms are chosen
  • Not Approved — three forms are chosen but not yet saved
  • Approved — the three forms have been saved

When three different forms are chosen and not yet approved, a Save button appears. After they are approved, a Summary button appears next to each form so you can open that completed form.

Appointments

The Appointments card records two completed forms:

  • Compliance Officer Appointment
  • Secondary Compliance Officer Appointment

Use Select Form on each row. You must choose two different forms. The same form cannot be used for both roles.

Until both appointments are selected, the card shows Please Complete the CO Appointment Forms.

When two different forms are chosen and not yet approved, a Save button appears. After they are approved, the card shows Approved and a Summary button appears next to each appointment.

AML/CTF training

AML / CTF Training and Competency Tracking shows the pass rate for one AML course.

Use Select Course. Only assigned courses whose name includes AML appear in this list.

The large percentage is:

  • users who passed that course, divided by users assigned to that course

If no course is selected, or nobody is assigned, the card shows 0%. Full course results are also available under Training Reporting.

Activity counts

Four count cards sit under the top row. Each has its own date range. The default range is the last 7 days, shown as Select Date range (Default 7 days).

  • SMRs and Unusual Matters
  • Internal Reports and Communications
  • Internal Screening and Checks
  • Transaction Records

Open the calendar on a card to choose:

  • Today
  • Yesterday
  • Last 7 Days
  • Last 30 Days
  • This Month
  • Last Month
  • or a custom range

Dates display as DD-MM-YYYY. A count of 0 means nothing was recorded in that range. Clearing the date range also sets the count back to 0.

AML/CTF forms submitted

Scroll down to AML CTF Form Submitted for each completed AML/CTF form.

Turn on Show Only Inprogress Form? if you only want forms that are still in progress.

From this table you can:

  • open a completed form in the Completed Form window, which shows form type, submitted by, submission time, and whether the form is in progress
  • send a reminder for an incomplete form — the user receives an email and an in-app notification

AML/CTF issues

Issues raised on AML/CTF forms are grouped by status:

  • AML/CTF Issue Identification - Pending
  • AML/CTF Issue Identification - In Progress
  • AML/CTF Issue Identification - Closed
  • AML/CTF Issue Identification - Open
  • AML/CTF Issue Without Controls

Open an issue’s action details to see controls, the action taken, who took it, who closed the ticket, accept or reject notes, status, and times.

If a table says “No data available in table”, there are no issues in that status for the current filters.

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