What this is
Ten questions. They are not a checklist of obligations, and they are not weighted towards anything we happen to sell. They are the questions that, in our experience of how screening files get reviewed, most often separate a process that can show its work from one that cannot.
Each is answerable in a few seconds by someone who runs the process. If a question needs a meeting to answer, that is itself informative.
How it is scored
Every question scores two for a full yes, one for partly, nothing for no. The questions are grouped into four areas — risk assessment, screening, due diligence and oversight — and the result lists those areas weakest first, each linked to the checklist that covers it.
The overall percentage is the least useful number on the page. A business at 80% with one area at 25% has a clearer problem than a business at 60% spread evenly, and the ordering is what shows that.
Why nothing is sent anywhere
The value of a self-assessment depends entirely on whether people answer it honestly, and honest answers here are a description of where a control is weak. Asking for those in exchange for an email address would guarantee optimistic answers and make the output worthless.
So the tool has no submit step, no result email and no stored state. If you want a record, screenshot it.
What to do with the result
The weakest area names the checklist to read next. Beyond that:
- Risk assessment weak — start with whether the assessment predates the controls, and whether any control can be traced to a specific risk. See the customer risk assessment checklist.
- Screening weak — usually a sequencing or a record-keeping problem rather than a tooling one. See the sanctions alert review checklist.
- Due diligence weak — most often ownership resolved to a company rather than a person, or an expected-activity profile that never reached monitoring. See the enhanced due diligence checklist.
- Oversight weak — the hardest to fix internally, because it needs someone independent. See the AML/CTF programme checklist.
None of that requires buying anything. If, having read them, the gap turns out to be a tooling one, talk to us — but the checklists are the useful part and they are free.