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Run: AML Customer Due Diligence and Risk Rating Worksheet

Assess a new customer’s source of funds, point of origin, and AML risk rating in one worksheet. Use it to decide monitoring level, escalation, and the next r...

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Review Overview

Review type (required)

Review date (required)

Reviewer name (required)

Customer reference or account ID (required)

Use an internal reference only. Do not enter unnecessary PII.

Customer Profile

Customer type (required)

Country of residence or registration (required)

Primary business activity or occupation (required)

Are there beneficial owners to review? (required)

Number of beneficial owners

Source of Funds and Origin

Source of funds (required)

If other, describe source of funds

Point of origin country (required)

Explain how the funds were generated and transferred (required)

Supporting documentation

Upload only documents necessary to support the AML assessment. Avoid collecting more PII than needed.

Expected Activity and Transaction Profile

Expected monthly transaction volume (required)

Expected monthly transaction value (required)

Expected countries or regions involved (required)

If other, describe expected geographies

Expected activity notes

AML Risk Factors

Is the customer or a beneficial owner a politically exposed person (PEP)? (required)

Any sanctions or watchlist match? (required)

Is there adverse media or negative news? (required)

Does the customer have a complex ownership or control structure? (required)

Risk factor notes

Risk Rating and Monitoring

Overall AML risk rating (required)

Ongoing monitoring level (required)

Escalation required to compliance leadership? (required)

Escalation reason

Next review date (required)

Consent, Attestation, and Audit Trail

I acknowledge that the information collected will be used for AML due diligence, risk assessment, and regulatory recordkeeping. (required)

Yes No N/A

Consent to contact for additional due diligence if needed

Yes No N/A

Reviewer attestation (required)

Confirm that the assessment was completed based on available information and internal AML procedures.

Submission notes

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Email (required)

Your name (optional)

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