## Summary

If your firm already has an established AML/CTF policy, you can upload it directly to the Compliance Centre. This allows you to centralise your compliance documentation and utilise the platform's management features.

## When to Use This

Use this feature if you have an existing policy document in PDF or DOCX format that you want to store and manage within the Compliance Centre.

## Step-by-Step Instructions


1. Navigate to the **Policy and process** tab.
2. Click **Upload your own**.
3. Drag and drop your **PDF** or **DOCX** file into the designated area.  Alternatively, click the link to **browse files** from your computer.
4. Once uploaded, the document will be processed and a preview will be displayed in the browser.

 ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=2b81b512-8e47-4cec-860b-852a891f3e9a " =827x275")




Uploading an external Policy document

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

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

Resending Verification Links to Staff

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

Getting Started with the Compliance Centre

Manually Completing Verification of Identity (VOI)

Adding and Configuring New Parties

Overview of AML Onboarding Workflow for individuals

 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 Use the Ultimate Beneficial Owner (UBO) Function

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

How to Verify Your Mobile Number for VOI Review

How to Complete the Verifier Declaration

How to Download the Completed VOI Report

How to Review a Completed VOI

How to Review a Completed KYC Onboarding Form

Cancelling an ordered VOI

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

Compliance Centre FAQs

Frequently Asked Questions

Guide

Help Center - Live

The customer acknowledges and agrees that the Help Centre Search Bar uses A.I.  AI can make mistakes.&nbsp;The Customer acknowledges and agrees that they have verified the extracted search results. The Search Bar does not provide legal advice, and the results are not a substitute for professional legal advice.&nbsp;The Customer should consider seeking independent legal, financial or other advice that takes into account their particular circumstances.&nbsp; Whilst InfoTrack and triSearch uses commercially reasonable efforts to ensure the information generated as a result of the searches are up to date current, InfoTrack and triSearch does not warrant its accuracy, currency or completeness and excludes all loss or damage howsoever arising (including through negligence) in connection with the information contained in the search results.

Uploading an external Policy document

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Summary

When to Use This

Step-by-Step Instructions

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Uploading an external Policy document

Share

Summary

When to Use This

Step-by-Step Instructions

Share