Manifestly: A Checklist App for Teams

AML Checklist

Customer Identification

Verify customer address

Verify customer source of funds

Confirm customer occupation

Document customer identification

Transaction Monitoring

Monitor customer transactions

Identify any suspicious activity

Analyze customer transaction patterns

Review customer transaction records

Implement automated transaction monitoring systems

Sanctions Screening

Monitor customer activity for potential sanctions

Identify potential sanctions violations

Check customer names against sanctions lists

Check customer countries of origin against sanctions lists

Risk Assessments

Conduct customer risk assessments

Assess customer risk profiles

Identify customer risk factors

Develop a customer risk rating system

Implement customer risk management policies

Reporting & Compliance

File suspicious activity reports

Comply with local and international regulations

Develop a compliance program

Conduct regular compliance reviews

Ensure ongoing compliance with all regulations

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Business Continuity Checklist

Staffing

Identify essential personnel

Identify backups for essential personnel

Identify emergency contact information for personnel

Equipment

Identify necessary equipment for business continuity

Identify backup systems for equipment

Identify emergency locations for equipment

Data

Identify vital data sets

Identify backup systems for data sets

Identify emergency locations for data sets

Communication

Identify emergency communication systems

Identify emergency contact information for customers

Identify emergency contact information for vendors

Processes

Identify necessary business processes

Identify backup processes for business continuity

Identify emergency locations for processes

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Client Onboarding Checklist

Client Information

Name

Address

Phone Number

Email Address

Tax Identification Number

Account Information

Type of Account

Account Number

Account Access

Account Funding

Documentation

Proof of Identity

Signed Account Agreement

Signed Risk Disclosure Statement

Signed Authorization Form

Verification

Know Your Customer (KYC)

Anti-Money Laundering (AML)

Credit Check

Address Verification

External Communication

Communication with Third Parties (if applicable)

Notification to Regulatory Bodies (if applicable)

Reporting

Reporting of Transactional Activity (if applicable)

Reporting to Regulatory Bodies (if applicable)

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Compliance Checklist

Risk Monitoring

Establish a risk monitoring system to review and report on compliance activities.

Ensure that the risk monitoring system is regularly tested.

Monitor changes in the regulatory environment and adjust risk monitoring system as needed.

Policies & Procedures

Create and maintain policies and procedures to support compliance objectives.

Develop clear and effective processes for monitoring compliance with regulatory requirements.

Develop clear and effective procedures for investigating compliance violations.

Training & Education

Establish a comprehensive training program to ensure all personnel understand the organization’s compliance requirements.

Ensure that all personnel receive regular training on changes to the regulatory environment.

Develop clear and effective procedures for documenting training and education activities.

Communication

Establish a clear and effective communication plan to ensure compliance requirements are understood and followed.

Develop a process for reporting compliance violations and concerns to senior management.

Ensure that all personnel are aware of the organization’s compliance objectives.

Internal Controls & Auditing

Develop and implement a system of internal controls to ensure the organization is in compliance with applicable laws and regulations.

Regularly audit and review the organization’s compliance processes and procedures.

Establish a process for promptly addressing any compliance issues identified during the audit process.

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Contract Review Checklist

Legal Considerations

Are the parties to the contract properly identified?

Are all necessary signatures present?

Does the agreement comply with applicable laws?

Are any licensing or registration requirements addressed?

Financial Considerations

Is the pricing of the contract fair and reasonable?

Are any discounts included?

Are any out-of-pocket costs and expenses included?

Are any payment terms included?

Performance Considerations

Are the terms of delivery and performance clear and unambiguous?

Are the expectations of both parties clearly defined?

Is there a timeline for completion of the services?

Are there any penalties for non-performance?

Risk Considerations

Are there any warranties or representations included?

Are liability or indemnification provisions included?

Are there any terms or conditions that could increase the organization's risk of harm?

Are there any clauses related to dispute resolution or termination?

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Data Security Checklist

Access Controls

Ensure physical access to servers and data centers is restricted.

Enforce access controls on all IT systems and networks.

Use multi-factor authentication for all users.

Log access attempts and monitor for suspicious activity.

Data Protection

Ensure all data is encrypted in transit and at rest.

Implement a data backup and disaster recovery plan.

Establish data retention policies.

Regularly scan for vulnerabilities and patch systems.

Network Security

Implement firewalls to protect the network from external threats.

Regularly monitor the network for suspicious activity.

Implement secure protocols such as SSL/TLS.

Disable unnecessary services and ports.

Identity and Access Management

Create user accounts with limited privileges.

Enforce strong password requirements.

Regularly review user access privileges.

Disable access for terminated employees.

Application Security

Regularly review applications for security vulnerabilities.

Ensure applications are up to date with the latest security patches.

Enforce secure coding standards.

Implement application security testing.

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Disaster Recovery Checklist

Physical Security

Ensure that all physical hardware is secure

Monitor for any suspicious activity

Implement access controls for all sensitive areas

Backup and Recovery

Create backups of all critical systems

Create system images for quick restoration

Store backup data in a secure location

Test backup and restore processes regularly

Network Security

Monitor firewall and security logs

Implement anti-virus and malware solutions

Maintain secure passwords and access controls

Business Continuity

Develop a plan for business continuity

Prepare for potential risks and threats

Implement a system for monitoring and responding to incidents

Incident Response

Establish an incident response team

Develop a plan for responding to incidents

Train personnel on incident response procedures

Compliance

Ensure compliance with all applicable regulations

Monitor for changes in regulations that may affect recovery plans

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Employee Onboarding Checklist

New Hire Personal Information

Name

Job title

Start date

Contact information

Emergency contact information

Bank account details

Background Check

Verify identity

Verify professional credentials

Verify criminal background

HR Onboarding

Set up employee record

Create user account

Provide employee handbook

Provide access to online training

Assign workspace

Provide IT equipment

Schedule benefits enrollment

Compliance

Review Privacy and Security Policies

Review Anti-Money Laundering (AML) Policies

Review Fair Lending Policies

Review Bank Secrecy Act (BSA) Policies

Orientation

Introduce employee to team

Introduce employee to company culture

Provide organizational information

Provide job-specific training

Performance Review

Set performance goals

Discuss performance expectations

Discuss career development plans

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Internal Controls Checklist

Accounting

Ensure accurate and timely recording of all financial transactions

Ensure accurate and timely reconciliation of all accounts

Ensure accurate and timely preparation of all financial statements

Ensure accurate and timely preparation of cash flow and budgeting forecasts

Monitor cash balances and ensure adequate controls over cash and investments

Operations

Establish and maintain adequate segregation of duties and authority

Establish and maintain adequate policies and procedures

Establish and maintain adequate internal control systems

Establish and maintain adequate information security and privacy policies and procedures

Risk Management

Establish and maintain a risk management framework

Establish and maintain a risk assessment process

Establish and maintain an effective internal audit program

Establish and maintain an effective compliance program

Establish and maintain an effective enterprise risk management program

Compliance

Adhere to applicable laws and regulations

Monitor and report changes in laws, regulations, and standards

Ensure compliance with applicable laws, regulations, and standards

Monitor and report on compliance with internal policies and procedures

Develop and maintain a culture of compliance

Data Security

Establish and maintain a data protection policy

Establish and maintain a data security program

Establish and maintain appropriate access control procedures

Establish and maintain a physical security plan

Establish and maintain a cyber security plan

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KYC Checklist

Identification Documentation

Passport

Driver's License

National ID Card

Birth Certificate

Utility Bill

Verification of Address

Bank Statement

Tax Notification

Utility Bill

Government-Issued ID Card

Economic Profile

Annual Income

Source of Wealth

Risk Profile

Investment Experience

Source of Funds

Bank Statements

Wire Transfer Records

Third-Party Verification

Documentation of Other Assets

AML/CFT Compliance

Risk Assessment

Sanctions Screening

Transaction Monitoring

Ongoing Due Diligence

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Regulatory Reporting Checklist

Data Management

Identify and assess data sources

Data mapping and validation

Data quality testing

Data reconciliation

Data archiving

Processing and Calculation

Process calculations

Process validations

Configure reporting

Perform stress testing

Reporting

Report in the required format

Check accuracy and completeness

Check for any errors

Submit report to regulator

Auditing

Review report prior to submission

Check for compliance with regulations

Review data sources and calculations

Perform audit to ensure accuracy

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Risk Management Checklist

Regulatory Compliance

Ensure compliance with applicable Federal, State, and local laws and regulations

Monitor changes in regulatory environment and compliance requirements

Establish procedures for reporting non-compliance incidents

Establish procedures for reporting suspicious activity

Business Continuity and Disaster Recovery

Establish an incident response plan

Develop a business continuity plan

Develop a disaster recovery plan

Develop data backup and storage plans

Develop cyber security policies and procedures

Risk Identification and Assessment

Identify and assess internal and external risks

Analyze and document risk scenarios

Develop risk response strategies

Monitor risk levels and adjust risk strategies as needed

Internal Controls

Establish and maintain internal control policies and procedures

Monitor and review internal controls

Identify and address any control weaknesses

Establish and maintain an audit program

Cyber Security

Establish and maintain cyber security policies and procedures

Implement cyber security controls

Monitor and detect security incidents

Implement incident response plans

Vendor Management

Establish and maintain vendor management policies and procedures

Monitor vendor activities and performance

Evaluate vendor contracts

Evaluate vendor risk management strategies

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Free Checklist Templates for Financial Services

AML Checklist

Customer Identification

Transaction Monitoring

Sanctions Screening

Risk Assessments

Reporting & Compliance

Business Continuity Checklist

Staffing

Equipment

Data

Communication

Processes

Client Onboarding Checklist

Client Information

Account Information

Documentation

Verification

External Communication

Reporting

Compliance Checklist

Risk Monitoring

Policies & Procedures

Training & Education

Communication

Internal Controls & Auditing

Contract Review Checklist

Legal Considerations

Financial Considerations

Performance Considerations

Risk Considerations

Data Security Checklist

Access Controls

Data Protection

Network Security

Identity and Access Management

Application Security

Disaster Recovery Checklist

Physical Security

Backup and Recovery

Network Security

Business Continuity

Incident Response

Compliance

Employee Onboarding Checklist

New Hire Personal Information

Background Check

HR Onboarding

Compliance

Orientation

Performance Review

Internal Controls Checklist

Accounting

Operations

Risk Management

Compliance

Data Security

KYC Checklist

Identification Documentation

Verification of Address

Economic Profile

Source of Funds

AML/CFT Compliance

Regulatory Reporting Checklist

Data Management

Processing and Calculation

Reporting

Auditing

Risk Management Checklist

Regulatory Compliance

Business Continuity and Disaster Recovery

Risk Identification and Assessment

Internal Controls

Cyber Security

Vendor Management

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