## Introduction

This article explains how to automatically generate a customised AML/CTF (Anti-Money Laundering and Counter-Terrorism Financing) policy and process document for your firm, and where to access the key options to manage it after it’s created.

## Summary

The Compliance Centre allows you to generate a comprehensive AML/CTF policy and process document. This generated document is based on AUSTRAC starter kits and is customised to include relevant InfoTrack and triSearch products and workflows.

The document is tailored to your firm based on the information you provide during the on-screen prompts (for example, staff size and suitability statement) and your firm’s risk profile captured in the Compliance Centre (including your firm risk assessment).

## When to Use This

Use this feature if you do not have an existing policy or wish to create a new one that is specifically tailored to your firm's size and use of InfoTrack or triSearch services.

## Step-by-Step Instructions


1. Click the **Policy and process** tab.
2. You will be presented with two options: **Create policy and process** or **Upload your own**.
   * If you want the Compliance Centre to generate a document for you, click **Create policy and process**.
   * If you already have a document and want to upload it instead, use **Upload your own**.
3. **Answer the prompts (questionnaire)**: You will be asked questions to tailor the document (for example, **“How many staff members are in your firm?”**). Select the appropriate range:
   * **1 - 15**: If selected, no further information is required for this step.
   * **16 - 50, 51 - 100, or 100+**: If you select any of these larger ranges, a **Suitability statement** field will appear.
4. **Suitability statement (if applicable)**: If required, enter a statement explaining how the standard policy and process template can be applied to your firm.
5. **Preview template (optional)**: You can click the link **View the template here** to download and review the base document before proceeding.
   * *Tip*: You can also download this template, make manual updates offline, and then use the **Upload your own** feature if you prefer a hybrid approach.
6. Click **Next** to generate the document.
7. The system will automatically generate a detailed, multi-page policy and process document based on your answers and your firm’s information and risk profile recorded in the Compliance Centre.
8. **Review the generated document** in the policy viewer:
   * Scroll through all pages to ensure the information is accurate and complete.
   * Review the **Policy and process details** (shown in the viewer) to confirm key information such as the **Last updated** date and the user who made the changes.
9. **Save**: When prompted, click **Finish** to save the document to your compliance centre.
   *If you do not see a **Finish** button, your document may save automatically after generation. You can confirm by returning to the **Policy and process** tab and checking that the document is visible in the viewer.*

## Manage the document after it’s created

To manage the document, click the **three dots** menu in the upper-right of the policy viewer.

From the menu, you can:

* **Upload new** (replace the current document)
* **Update** your policy (you may be prompted to re-confirm details before regenerating)
* view the **Audit trail**
* view **Version history**
* **Download DOCX** or **Download PDF**

 ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=78abefc1-2fba-429c-a523-156dc5402879 " =1730x377")


## About the Template

The generated document is derived from AUSTRAC starter kits. It has been customised to make sense within the InfoTrack and triSearch context, meaning terms and wording have been updated to include InfoTrack and triSearch searches and general processes for using InfoTrack and triSearch products.

Generate a Policy and Process document

How to add your AUSTRAC enrolment number

Setting up the AML/CTF Compliance Centre

Navigating the Transactions tab

Governing Body access in the Compliance Centre

Senior Manager or Client-Facing staff access in the Compliance Centre

Understanding the Transactions list

User roles and Viewing permissions

Navigating the Compliance Centre

Uploading your own Firm risk assessment

Completing the Firm Risk Assessment

Uploading an external Policy document

Managing policy and process documents

Policy and Process overview

Due Diligence requirements for Compliance Officers

Performing the Bankruptcy Register search

Performing the Criminal History check

Onboarding a Compliance Officer

Onboarding Governing Body, Senior Manager and Client-facing roles

Managing Staff Onboarding

How to Review Profile Matches from a Screening Check

Understanding Screening Check Statuses

Conducting PEPs, Sanctions, and Adverse Media Checks

Tracking completed Training Modules

How to check Training Status and access your Training Completion Certificate

How to access and complete Training modules

Managing Staff Training

AUSTRAC Reports

Viewing and filtering existing Reliance Agreements

Creating a New Reliance Agreement

Managing Reliance Agreements in the Compliance Centre

Frequently Asked Questions

Getting Started with the Compliance Centre

 Configuring Verification and Compliance Checks for individuals

Sending Onboarding Requests and Accessing the AML Summary for individuals

Completing the individual Risk Assessment and Finalising Onboarding

How to Onboard an Individual

Performing a Verification of Funds Check

How to Escalate a Client to a Compliance Officer

Enhanced Due Diligence and Escalations

How to Finalise Trust Onboardings

How to Complete the AML Risk Assessment for Trusts

How to Onboard a Trust

How to Complete the AML Risk Assessment for Companies

How to Finalise Company Onboardings

How to Onboard a Company

Conducting an Initial Risk Review for Escalations

Resolving or Investigating Escalations Further

Reviewing Escalations as a Compliance Officer

AML Customer Due Diligence

Editing staff details to resolve Staff Onboarding validation errors

Duplicate Users - Practice Management Software Integration

Old Users Appearing in Staff Onboarding

Troubleshooting

Guide

Help Center - Live

Generate a Policy and Process document

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Generate a Policy and Process document

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