Regulatory Compliance Screening Process Playbook

This detailed playbook provides compliance managers, risk assessment officers, and client relations officers with a structured framework for managing regulatory compliance screening. It includes:
– Step-by-Step Process Flow: Outlines essential subprocesses such as Client Identification, Client Approval, and Compliance Monitoring and Feedback, with clear actions, decision points, and feedback mechanisms to ensure thorough regulatory compliance screening and ongoing monitoring for clients involved in digital asset transactions.
– RACI Framework: Clearly defines roles and responsibilities for each task in the regulatory compliance screening process, ensuring that compliance managers, risk assessment officers, and client relations officers are accountable and engaged at every stage, promoting a transparent and collaborative approach to managing compliance and risk.