## Summary

This guide explains the process for Compliance Officers to review and manage escalations related to transactions or client onboardings.

## When to Use This

Use this guide when client-facing staff have escalated a transaction or onboarding process, and a Compliance Officer needs to step in to provide a risk-based assessment and decision.

## Step-by-Step Instructions

1. Access the escalated onboarding within the Compliance Centre.
2. Review the potential risks that have been identified by the client-facing staff.
3. Conduct a comprehensive risk review and document your rationale in the provided text field.
4. Choose to either resolve the escalation if everything is satisfactory, or investigate further if more information is needed.

## Common Questions

**Who initiates an escalation?**
Escalations are typically initiated by client-facing staff when they encounter a transaction or onboarding that requires further compliance review.

## Troubleshooting Tips

**Unsure how to proceed with a complex escalation?**
If the initial review does not provide enough clarity, always utilise the option to investigate further before making a final decision.


Reviewing Escalations as a Compliance Officer

 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

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

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

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

Guide

Help Center - Live

Reviewing Escalations as a Compliance Officer

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Conducting an Initial Risk Review for Escalations

Resolving or Investigating Escalations Further

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Reviewing Escalations as a Compliance Officer

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Conducting an Initial Risk Review for Escalations

Resolving or Investigating Escalations Further

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