# Independent Audit Preparation Checklist

Gather these items before your independent AML/CFT audit kicks off.

## Governance documents
- [ ] Current AML/CFT Risk Assessment (and prior versions)
- [ ] Current Compliance Programme
- [ ] Appointment letter for Compliance Officer
- [ ] Board / Director sign-off records

## Procedures and templates
- [ ] CDD forms (standard, simplified, enhanced)
- [ ] PEP and sanctions screening procedure
- [ ] Suspicious activity reporting procedure
- [ ] Record-keeping policy

## Evidence
- [ ] Sample of CDD files across the audit period (auditor selects)
- [ ] Training register and training materials
- [ ] Suspicious activity reports filed
- [ ] Annual reports filed with the supervisor
- [ ] Internal monitoring / quality reviews

## Operational
- [ ] List of staff with AML/CFT responsibilities
- [ ] Vendor / outsource arrangements (and contracts)
- [ ] IT systems used for screening, monitoring, record-keeping

## After the audit
- [ ] Receive findings report
- [ ] Agree remediation plan with owners and dates
- [ ] Update Risk Assessment and Programme as needed

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General information only. Not legal advice. © Compliance1.