Summary

This article details the requirements for onboarding Governing Body, Senior Manager and Client-Facing roles. It covers the mandatory searches and checklists that must be completed and clarifies which checks are not necessary for these roles. Completing the suitability checklist and finalising onboarding ensures that all qualifications and professional standards are verified, officially registering the staff member within the compliance framework.

When to Use This

Follow these steps when onboarding a staff member who acts as:

• Governing body: For practice owners who set strategic direction.
• Senior manager: For leaders who approve compliance programs and decide on high-risk clients.
• Client-facing personnel: For frontline support staff performing due diligence.

To order the mandatory onboarding checks

1. Navigate to the Staff onboarding tab from the AML/CTF Compliance Centre.

2. Find the staff member you wish to onboard and click the Onboard button in their row.
   Tip: If you only need to view the staff member’s record (and not start/continue checks), you can open their record by clicking View instead (if shown).

   

3. You will be taken to their individual onboarding page (the Personnel Due Diligence (PDD) page). At the top, you can review their contact details and assigned Roles. Tip: In some views you can also open the staff member by selecting them from the list to open their PDD page.

4. If you need to update the staff member’s personal/contact details (for example, Date of Birth or Mobile number), click the Edit staff details (pencil) icon next to their details, complete any missing information, then click Save.

5. A notification will appear confirming the details have been successfully updated. Important: If you change key personal details (for example name or date of birth), you may need to re-run background checks so the results match the updated details. Tip: If required information is missing, you may not be able to proceed when you click Order.

6. If the role has not yet been assigned, click Assign Roles*.*

   

   1. An Edit Role pop-up window will open.

   2. Tick the relevant role checkbox(es) (for example, Client-facing personnel, Senior manager, or Governing body).

   3. Click Confirm to save.

      Tip: One person can hold multiple roles.

7. From the Personnel Due Diligence (PDD) section, Verification of identity and PEPs, Sanctions and Adverse media will be selected by default.

8. Scroll to the bottom of the onboarding page and click Order to start the Personnel Due Diligence checks.

   • The system will send the VOI request for completion by the staff member.
   • The PEPs, Sanctions and Adverse media screening will be ordered and results returned.
   • The status for Verification of identity and PEPs, Sanctions and Adverse media will typically change to IN PROGRESS.

Uploading existing VOI or PEPs, Sanctions and Adverse media checks

To upload an existing VOI or PEPs, Sanctions and Adverse media checks:

1. Untick either selection.
2. Click the three vertical dots next to your selection and click Complete Manually.
3. To upload the VOI, either Drop or browse files from your device into the pop up and click Complete. The green Completed status will be displayed. Note: Only PDF, DOC or DOCX files are supported.
4. To upload the PEPs, Sanctions and Adverse media checks answer the two questions about whether your client is a politically exposed person or if they are on the sanctions list. Then either Drop or browse files from your device into the pop up and click Complete. The green Completed status will be displayed. Note: Only PDF, DOC or DOCX files are supported.

To complete the Verification of identity (VOI)

Use these steps to review and submit the Verification of identity task after the staff member has submitted their documents. Completing the VOI includes a one-time mobile security code (multi-factor authentication), reviewing the identity information and documents provided (including information automatically extracted from the documents), resolving any Data Match failed issues (and/or manually entering a document when prompted), and completing the final declaration with a digital signature.

1. From the staff member's Personnel Due Diligence (PDD) page, find the Verification of identity task and click Review.
2. You will be prompted to verify your mobile number. Click Send Code, enter the security code you receive, and click Continue.
3. The system will analyse the identity documents. Once complete, you will land on the Verify Identity Information page.
4. Carefully review the individual's details (including legal name, phone number, and email address), inspect the real-time photograph alongside the scanned primary document (such as an Australian driver's licence) to confirm a visual and biometric match, and verify that extracted document data matches database registration (e.g., licence number, card number, date of birth, and date of expiry).
5. If any document has a 'Data Match failed' status, you will need to resolve any errors before you can continue.
6. Verify that face match and data match verifications are successful. Once all documents are successfully verified, scroll to the bottom and click Continue.
7. On the final page, fill in any required fields (such as the verifier name and firm name), read the declaration and tick the two confirmation boxes to confirm you have taken reasonable steps and agree to the terms.
8. Use your mouse, touch screen, or stylus to provide a digital signature in the signature box.
9. Click Submit VOI to complete the verification process.
10. When the confirmation screen shows VOI completed, either Download report or click Go to dashboard to return to the Staff onboarding dashboard.

To review PEPs, Sanctions and Adverse Media results

Use these steps to review system-generated potential matches for the staff member you are onboarding.

1. After the VOI has been completed and screening results are available, go to the staff member’s Personnel Due Diligence (PDD) checklist.

2. Find the PEPs, Sanctions and Adverse media item and click Review.

3. A screen will appear displaying a list of potential profiles found by the system.

   The table may include details such as:

   • Name
   • Risk categories
   • Date of birth
   • Gender
   • Country
   • Confidence score

   Tip: You can hover over Risk categories to see what each category means (for example, Special Interest Individual).

4. If you want to review one or more profiles in more detail:

   1. Select the profile(s) you want to investigate (up to 10) and click Continue.
   2. The status may change to Profiles Requested. Click Review again to open the detailed profile(s).

   Note: In some cases you may be taken directly to a single profile review page if only one result is returned.

5. On the profile review page, examine the available information, including (where shown):

   • Profile details (personal information, risk categories, relationships)
   • Adverse media
   • Profile notes
   • Sources

6. To review more context for a match, click View source (where available) to open the underlying source information.

7. Use the dropdown at the top of the profile (usually starting as To review) to classify the profile:

   • Is a match (the profile relates to the staff member), or
   • Not a match (the profile does not relate to the staff member).

   Tip: If multiple profiles were returned, repeat this for each requested profile. The overall screening status will only complete once each requested profile is resolved.

8. After you make a selection:

   • repeat the review and classification process for each profile you selected (you can switch between profiles using the profile selector dropdown where available), then
   • click Back to return to the staff member’s onboarding page.

   The PEPs, Sanctions and Adverse media status will update to reflect your selection (for example, Not a match).

9. If you conclude that none of the listed profiles match the staff member, click No matches at the bottom of the list.

   Important: Use No matches only when you have confirmed there are no true matches. If you are selecting No matches, do not select any of the profiles in the list.

10. When all profiles have been reviewed and marked (or you have selected No matches), you will be returned to the PDD checklist and the status for this item will update to COMPLETED.

Other documentation

On the staff member’s Personnel Due Diligence (PDD) page, you will see a list of tasks such as Conveyancing or settlement agent license, Suitability checklist, Statutory declaration and Additional Document.

1. Complete the Suitability Checklist by clicking the Complete button next to it.

   1. A pop-up window will appear with checklist items. Review each item and check the boxes to confirm the staff member's suitability (for example, that they are reliable, honest and act with integrity, and that they have relevant skills and competencies). Then click Complete.
   2. The Suitability checklist will be marked as COMPLETED.

2. Complete any optional tasks such as:

   1. uploading a Conveyancing or settlement agent license by selecting the option next to the task and uploading the required files in the popup window; or
   2. uploading a Statutory Declaration; or
   3. uploading any Additional Document you may wish to retain.

Onboarding completed

Before finalising onboarding, ensure all required PDD tasks (including any required document uploads and the Suitability checklist) are marked as COMPLETED on the PDD page.

1. Once all mandatory checks show a Completed status with a green tick, click the Onboard button at the bottom right of the page.
2. When the confirmation modal appears, click Onboard to finalise the process. A success banner will confirm that the employee has been successfully onboarded.
3. A confirmation window will appear. Click Onboard again to officially complete the staff member's onboarding.
4. A success notification will confirm that the staff member has been successfully onboarded.
5. The Onboarded status will be updated after onboarding is confirmed (for example, shown as Completed on the Staff Onboarding dashboard or YES in the Onboarded column on the main staff list).

Troubleshooting

Managing incomplete due diligence checks

If some Personnel Due Diligence (PDD) items are not yet marked as Completed, open the staff member’s onboarding page and review the PDD statuses.

• If a check has been completed externally, use the Upload button (where available) to attach the supporting document.
• If Verification of identity shows Client Completed, click Review to view the submitted details and verify them.

Once all PDD items show Completed, the Onboard button at the bottom of the page will be active so you can finalise onboarding.

To request a document resubmission (VOI)

If a staff member’s identity documents are insufficient or incorrect, you can request that they resubmit specific documents or provide additional ones.

1. From the staff member’s onboarding page, open the Verify Identity Information page and scroll down past the currently submitted documents.
2. Click Request resubmission.
3. In the Document resubmission window, either:
   • select the checkbox next to an existing document to have it resubmitted; or
   • use Request an additional document to select the required document type.
4. Enter details in Custom message for your client explaining what is required.
5. Click Confirm to send the request.

Resend an onboarding link

If a staff member has not completed their onboarding tasks or has lost the original link, you can resend it:

1. From the staff member’s onboarding page, locate the task you want to resend (for example, Verification of identity).
2. Click the three-dot menu icon on the right-hand side of that task row.
3. Select Resend.
4. In the Resend link to client confirmation pop-up, click Send.

The Onboard button is disabled/you cannot finalise onboarding

If you can’t click the Onboard button to finalise onboarding, it usually means one or more mandatory requirements are still incomplete.

1. Verify mandatory checks in PDD: On the staff member’s onboarding page, review the Personnel Due Diligence (PDD) section and confirm each required item shows COMPLETED with a green tick. Common mandatory checks include Verification of Identity (VOI) and PEPs, Sanctions, and Adverse Media.

2. Confirm the Suitability Checklist is completed: Scroll to the Suitability Checklist and ensure it has been completed.

3. Use manual completion (if available): If you already have evidence for a check but the system has not automatically updated the status, open the three-dot menu next to the relevant item and select Complete manually, then upload the supporting evidence (see To manually complete Personnel Due Diligence (PDD) checklist items above).

4. Finalise onboarding: When all mandatory items are complete, the Onboard button will become available. Select it to finalise, and the staff member’s status will update to Completed on the Staff Onboarding dashboard.