## Introduction

The **Policy and process** section provides a central location to manage your firm’s compliance policy documentation. Once a policy document is in place, you can view it in the built-in document viewer, update or replace it, track changes, review version history, manage the suitability statement (where applicable), and download copies for your records.

## Summary

Once a policy document is established in the Compliance Centre, you have access to a suite of management tools. You can view the current document in an embedded viewer, see document details (like last updated), track changes through an audit trail, manage version history, review the suitability statement (where applicable), and download copies for external use.

## When to Use This

Use these features to maintain compliance by keeping your policies up to date, tracking who has made changes, updating your suitability statement, or retrieving past versions of your documentation for audits or reviews.

## Access and view the Policy and process document

1. Navigate to the **AML/CTF Compliance Centre**.
2. Click the **Policy and process** tab.
3. The system displays the **Policy and process details** page, which includes an embedded document viewer showing your current policy document.
4. Scroll through the document using the viewer’s internal scrollbar.
5. To see available actions, click the **three dots menu** (located to the right of the **Policy and process details** title).

## Policy and process details (tab overview)

At the top left of the document view, you will see **Policy and process details**, which include:

* The date the document was **Last updated**.
* The name of the user who performed the update.

## Management actions

By clicking the **three dots menu** on the right side of the screen, you can access the following actions:

![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=caddd45a-7d74-4a1c-a9a0-c1d785fc8ddf " =342x525")

### Upload new

Allows you to replace the current document by uploading a new file.

### Update

Provides options to update the existing policy settings or content.

### Audit trail

Select **Audit trail** to view a comprehensive log of activities related to the policy.

* This view shows a list of activities, including the date, time, and specific action taken.
* You can print or download this audit log as needed.

### Version history

Select **Version history** to see a table of all previous iterations of the document.

* The table displays the **Date Created** and **Created By** for each version.
* The current version is marked with a "CURRENT" tag.
* You can view or download a PDF copy of any previous version by clicking the document icon next to it.

### Download options

You can download the current policy document to your local machine in two formats:

* **Download DOCX**: Useful if you need to edit the document in a word processor.
* **Download PDF**: Best for sharing a fixed version of the policy across your firm.

### View suitability statement

Select **View suitability statement** to review (and, where available, edit) the suitability statement associated with your policy.

* A pop-up window will appear where you can review or edit the statement.
* When finished, click **Close** or the **X** to return to the policy view.


Managing policy and process documents

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

Generate a Policy and Process document

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

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Understanding Screening Check Statuses

Conducting PEPs, Sanctions, and Adverse Media Checks

Tracking completed Training Modules

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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

Managing policy and process documents

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Managing policy and process documents

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