AML Compliance Monitoring Checklist

1
Location #:* This field is required.Select your location # from the drop down menu
Please Select
Please Select
Carlie C's IGA # 725
Carlie C's IGA #730
Carlie C's IGA #735
Carlie C's IGA #740
Carlie C's IGA #745
Carlie C's IGA #750
Carlie C's IGA #755
Carlie C's IGA #760
Carlie C's IGA #765
Carlie C's IGA #770
Carlie C's IGA #775
Carlie C's IGA #780
Carlie C's IGA #790
Carlie C's IGA #795
Carlie C's IGA #800
Carlie C's IGA #805
Carlie C's IGA #810
Carlie C's IGA #815
Carlie C's IGA #820
Carlie C's IGA #825
Carlie C's IGA #830
Carlie C's IGA #835
Carlie C's IGA #840
Carlie C's IGA #845
Carlie C's IGA #850
Carlie C's IGA #855
Carlie C's IGA #860
Carlie C's IGA #865
Carlie C's IGA #870
Carlie C's IGA #875
Carlie C's IGA #880
Carlie C's IGA #885
Carlie C's IGA #895
Carlie C's #3408 Service Center
Carlie C's #3408 Operation Center
Nuhome Warehouse
Testing Form
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Location Address:
3
Location Phone:
4
Location E-mail:
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From:* This field is required.Select the start date for this monitoring period (1st day of the month you are monitoring)
Date
Year
Month
Day
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To:* This field is required.Select the ending date for this monitoring period (Last day of the month you are monitoring)
Date
Year
Month
Day
7
1. Have there been any suspicious transactions this period? If yes, answer question 1a.* This field is required.
YESNO
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1a. Was a complete and accurate SAR e-filed to FinCEN within 30 days of detection, and a copy maintained onsite for all transactions identified in question #1?* This field is required.IF YOU ANSWERED "NO" TO THE PREVIOUS QUESTION, THIS ANSWER IS "N/A".
YES
NO
N/A
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2. Have there been cash transactions totaling $10,000.00 or more (including fees) by, or on behalf of, one customer in one day, for this period? If yes, answer question 2a.* This field is required.This includes CASH transactions, including prepaid cards, bill pay, money orders, money transfers, and checks
YESNO
10
2a. Was a complete and accurate "CTR" e-filed to FinCEN within 15 days of the transaction, and a copy maintained onsite for transactions identified in question #2?* This field is required.IF YOU ANSWERED "NO" TO THE PREVIOUS QUESTION, THIS ANSWER IS "N/A".
YES
NO
N/A
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3. Have there been money order sales totaling $3,000.00 or more by, or on behalf of, one customer in one day for this period? If yes, answer question 3a.* This field is required.
YESNO
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3a. Is the Money Order Log (Record) complete and accurate for sales identified in question 3?* This field is required.IF YOU ANSWERED "NO" TO THE PREVIOUS QUESTION, THIS ANSWER IS "N/A".
YES
NO
N/A
13
4. Have there been checks cashed for $1,000.00 or more to one customer in one day for this period?* This field is required.This answer should be NO, as company policy prohibits more $1,000 or more in payroll checks to be cashed for the same person in the same day. If the answer is YES, contact the Director of Loss Prevention immediately upon completion of this Monitoring Checklist prepared to provide an explanation.
YESNO
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5. Were all customer I.D. requirements met, for applicable transactions, for this period?* This field is required.I.D. REQUIREMENTS INCLUDE PROPER I.D. FOR MONEY ORDER TRANSACTIONS OVER $3,000.00, AND MONEY ORDER AND BILL PAY TRANSACTIONS OVER $10,000.00. WESTERN UNION REQUIRES ALL I.D. REQUIREMENTS TO BE MET BEFORE ALLOWING A MONEY TRANSFER TO FINALIZE, AND POLICIES PROHIBIT CHECK-CASHING AND PRE-PAID TO EXCEED LIMITS WHICH INCLUDE I.D. REQUIREMENTS.
YES
NO
N/A
15
Description of compliance discrepancies.In 40 words or less, describe below any discrepancies with compliance for this period. If none, write "None".
None
0/40
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Printed Name:* This field is required.FIRST & LAST NAME of employee who completed this checklist
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Signature or e-Signature:* This field is required.Computer = Use Mouse to Sign; Mobile Device = Use Finger or Stylus to Sign
Clear
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Today's Date:* This field is required.
Date
Year
Month
Day
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LP:
20
LP Email:
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Email
example@example.com
Should be Empty: