Use the AML / KYC and sanctions audit
Review AML, KYC, manual credit-check and sanctions evidence from the financial audit workspace.
Before you start
Compliance View opens the workspace; Create is used for new intake, Edit for review/approval and Delete for deletion. Each action also validates its record.
Follow these steps
- Go to the audit workspace.
- Check obligations, source records and audit events.
- Go to supporting evidence for sampled records.
- Run the backbone audit when authorised.
- Export only the required evidence set.
Fields, rules and limits
Check it worked
The linked entity, saved state, dates and evidence match the intended task.
If something does not look right
If the expected result is missing, check the saved record, the current workspace and the action’s permissions. Record the exact validation message; do not repeat a state-changing action until you know whether the first attempt saved.
Questions and answers
Does a parsed document count as approved?
No. Parsing supplies suggested values. A reviewer must verify the linked entity, evidence and required fields, then use the separate approval action.
Is the generated PDF the original certificate?
No. The system PDF reflects the saved compliance record or notification. Open the original source evidence separately when checking the document supplied.