Run Title 31 AML Compliance Audit — Free

Audit Scope and Independence

Audit period and property scope documented critical (required)

Independent tester has no operational responsibility for the AML program critical (required)

Yes No N/A

Audit plan includes internal controls, training, reporting, and recordkeeping critical (required)

Yes No N/A

Prior audit findings and corrective actions reviewed

Yes No N/A

Applicable gaming and BSA/AML policies obtained for review

Yes No N/A

Written AML Program and Internal Controls

Written AML program is current and approved by management critical (required)

Yes No N/A

Program includes customer due diligence and enhanced due diligence triggers critical (required)

Yes No N/A

Cash transaction monitoring controls are defined and operating critical (required)

Yes No N/A

Thresholds, alerts, and escalation criteria are documented critical (required)

Yes No N/A

Segregation of duties exists for transaction review and approval

Yes No N/A

Independent testing frequency meets program requirement

Training and Employee Awareness

Training curriculum covers Title 31 obligations and red flags critical (required)

Yes No N/A

Training is role-based for cage, slots, table games, surveillance, and supervisors critical (required)

Yes No N/A

Training completion rate for required employees

Training records include date, content, and attendee verification

Yes No N/A

Employees can describe escalation steps for suspicious activity

Transaction Monitoring and Reporting

Suspicious activity review process is documented and followed critical (required)

Yes No N/A

Alerts and exception reports are reviewed on a defined schedule critical (required)

Yes No N/A

Sampled alerts were escalated with complete case notes critical (required)

Suspicious activity reports were filed when required critical (required)

Yes No N/A

Reporting timelines met internal policy and regulatory expectations critical (required)

Records, Retention, and Management Oversight

Required AML records are retained and readily retrievable critical (required)

Yes No N/A

Management receives periodic AML compliance reporting

Yes No N/A

Open deficiencies have assigned owners and due dates

Yes No N/A

Corrective actions address root cause and are tracked to closure

Yes No N/A

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Run: Title 31 AML Compliance Audit

Audit Scope and Independence

Written AML Program and Internal Controls

Training and Employee Awareness

Transaction Monitoring and Reporting

Records, Retention, and Management Oversight

Get your results