Model policy · version 1
Risk Assessment
Know where your AML and regulatory risk actually sits, score it, and keep the picture current. The risk assessment is the document every other control traces back to, and the first thing an examiner or a sponsor bank asks for.
What’s in this policy10 sections · Risk Assessment · Read the full policy
6Obligations · things you must do
7Evidence · records that prove it
0Monitoring · checks and deadlines
1Reporting · reports you must send
Does this apply to you?
Answer a few questions and each obligation is marked applies, likely, or needs more information.
Tell Leela about your companyHand over the whole policy
Every obligation in this policy, in one request.
What the policy requires
Automate
Leela can perform the work through your connected systems.
Monitor
Leela can watch for the trigger, keep the clock, and flag what is late.
Prepare for review
Leela can prepare the artifact and hand it to a person for review.
Human required
A person must do the work; Leela can track it and file the evidence.
TriggerAnnual · Written before launch and refreshed each year
EvidenceAML risk assessment
TriggerAnnual · With each assessment, and whenever a control is added or fails
EvidenceControl assessment and residual rating table
TriggerAnnual · Written before launch and refreshed each year
EvidenceRegulatory compliance risk assessment
TriggerEvent-driven · On any material change, ahead of launch where possible
EvidenceTargeted reassessment
TriggerQuarterly · Status with each quarterly compliance report; escalation on a missed date
EvidenceMitigation tracker
TriggerAnnual · With each annual refresh and each targeted reassessment
EvidenceApproval record, Sponsor bank transmittal