Managing Staff Onboarding

Summary

This article explains how to use the Staff Onboarding dashboard in the AML/CTF Compliance Centre to monitor your team's compliance status. Learn how to edit staff details, assign compliance roles, track training and onboarding progress, search and filter for individuals, view a staff member's profile or onboard them, and access the audit trail. Onboarding also helps complete Personnel Due Diligence (PDD), ensuring staff identities are verified, background screenings are performed, and suitability is assessed in line with AML/CTF compliance requirements. By centralizing candidate files in the Staff Onboarding dashboard, managers can easily identify which steps are pending and successfully onboard personnel into their specific compliance roles.

When to Use This

Use this guide when you need to get an overview of your staff's onboarding progress, find a specific staff member's status, or review the history of onboarding activities for record-keeping and compliance purposes.

Step-by-Step Instructions

To complete onboarding for a specific staff member:

1. Go to the Staff Onboarding tab in the Compliance Centre.
2. You will see a complete list of staff members from your firm. You can browse through multiple pages of staff using the page navigation tools at the bottom right of the list. Depending on the staff member's status, you may see View, Onboard, or Document actions next to their name. Click these to open the staff member's Personnel Due Diligence (PDD) checklist page. From here, review the status of PDD requirements (such as 'Verification of Identity (VOI)' and 'PEPs, Sanctions and Adverse media'). To complete a pending check, such as the Suitability checklist, click Complete next to that item. In the confirmation modal, review the compliance questions (e.g., validating credentials, professional integrity, and checking for insolvency), select the corresponding checkboxes, and click Complete.
3. To review background screening results covering global watchlists, click View next to a completed screening line item. Review the dashboard to see which verification steps are required or in progress. Click Place order at the bottom of the page to initiate background verification checks. A confirmation dialog will prompt you to verify the employee's name, phone, and email before proceeding. Click Continue to run the identity and background screenings.
4. Review the columns to see each staff member's name, their assigned Role (e.g., Compliance officer, Client facing, Governing body, Senior manager), their Last Ordered Date of screenings, their Training status, and their Onboarded status.
5. To find a specific person, type their name into the Search staff bar. The list will dynamically update as you type, narrowing down the results to match your search query. You can also scroll through the list to locate them.
6. To refine the list, click the Filter by dropdown on the top right of the grid and select roles, departments, or specific statuses, such as 'Onboarded', 'Onboarding in progress', 'Not onboarded', 'Training complete', 'Training in progress', or 'Training not started'. At the bottom of the page, use the Show options to adjust how many staff members are displayed per page. You can also filter for 'Not onboarded' to quickly find staff members who still need to start the onboarding process.
7. To view a detailed history of all onboarding activities, click the three-dot menu in the top right of the table and select Audit Trail.
8. The audit trail document will open, showing the date, time, and a description of each activity. You can download or print this document for your records.

Common Questions

What do the different 'Onboarded' statuses mean? The 'Onboarded' column shows the current stage of the onboarding process. An orange 'In Progress' means onboarding has started but is not finished due to outstanding training or administrative steps. 'Onboard now' indicates the process can be initiated. A green 'Yes' means the staff member is fully onboarded.

What are the possible 'Training' statuses? The 'Training' column can show a grey 'Not Started', 'In Progress', or a green 'Complete', allowing you to quickly see who has finished their required training across standard modules (such as starter kits, role responsibilities, and customer due diligence). To check overall training credentials, click the Training tab to view complete training records, inspect completed module lists, and download individual certificates of completion for compliant personnel.

Troubleshooting Tips

The staff list is not up to date. The staff list is based on your firm's user accounts. If a new staff member is missing, ensure their account has been created correctly. If an old staff member is still listed, their account may need to be deactivated.

I can't find the Audit Trail option. The Audit Trail is located within the three-dot menu, which is positioned to the right of the 'Filter by' button on the Staff Onboarding table. If you don't see it, your user role may not have permission to view it.