## Summary

The Compliance Centre provides a dedicated **Policy and process** tab where you can establish and manage your firm’s AML/CTF policy documentation. This section allows you to either create a new policy using a standard template or upload your existing policy documents. Once established, the platform offers tools to manage version history, view audit trails, and update the documents as needed.

## Key Features

The **Policy and process** tab offers two primary methods for establishing your documentation:

* **Create Policy and Process**: Generates a document based on AUSTRAC starter kits, customised for InfoTrack and triSearch services.
* **Upload Your Own**: Allows you to upload existing PDF or DOCX files directly to the platform.

Once a policy is in place, details such as the last update date and the user who made the changes, will be displayed.

 ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=022a12eb-f84e-4045-b7ce-745f2d1820a8 " =1764x447")

## Next Steps

* If you already have a policy document, refer to the guide on **Uploading an External Policy document**.
* If you need to generate a new policy, refer to the guide on **Generate a Policy and Process document**.
* To learn about maintaining your documents, refer to the guide on **Managing Policy documents**.




Policy and Process overview

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

Managing policy and process documents

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

Policy and Process overview

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Generate a Policy and Process document

Managing policy and process documents

Uploading an external Policy document

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Policy and Process overview

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Generate a Policy and Process document

Managing policy and process documents

Uploading an external Policy document

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