Created/Revised By Revision Details Created/Revised on Version No Kavita Nair Initial Draft Dec 18, 2014 0.1 Shweta Mukherjee Client feedback implementation and screen creation from 8 Dec 22, 2014 1.0 Shweta Mukherjee Client feedback implementation and screen creation from 22 Dec 24, 2014 1.1 Pooja Zaware Client feedback implementation (up to screen 21) Dec 25, 2014 1.2 Shweta Mukherjee Client feedback implementation Dec 31, 2014 1.3 Shweta Mukherjee Client feedback implementation Jan 2, 2015 1.4 Shweta Mukherjee Client feedback implementation Jan 5, 2015 1.5 Shweta Mukherjee Client feedback implementation Jan 6, 2015 1.6 Shweta Mukherjee Updated process on screen 14 Jan 7, 2015 1.7 Shweta Mukherjee Client feedback implementation Jan 8, 2015 1.8 Priya Tiwari Client feedback implementation Jan 9, 2015 1.9 Priya Tiwari Global Changes Jan 12, 2015 2.0
Priya Tiwari Global Changes Jan 13, 2015 2.1 Vikas Salgaonkar ID review Jan 14, 2015 2.2 Shweta Mukherjee Client feedback implementation Jan 15, 2015 2.3 Vikas Salgaonkar Client feedback implementation Jan 16, 2015 2.4 Shweta Mukherjee Client feedback implementation Jan 19, 2015 2.5 Shweta Mukherjee Client feedback implementation Jan 20, 2015 2.6 Shweta Mukherjee ID Review Jan 20, 2015 2.7 Shweta Mukherjee ID Review Jan 21, 2015 2.8 Shweta Mukherjee ID Review Jan 22, 2015 2.9 Vikas Salgaonkar Client feedback implementation Jan 27, 2015 3.0 Pooja Zaware Client feedback implementation Jan 28, 2015 3.1 Shweta Mukherjee Client feedback implementation Jan 30, 2015 3.2 Pooja Zaware Client feedback implementation Feb 04, 2015 3.3 Shweta Mukherjee Client feedback implementation Feb 6, 2015 3.4 Shweta Mukherjee Client feedback implementation Feb 9, 2015 3.5 Shweta Mukherjee Client feedback implementation Feb 10, 2015 3.6
Module Name: AML Monitoring & Surveillance Oversight Slide Name: Module Objectives Screen No: 01 On-Screen Text Graphics Description By the end of this module, you will be able to: Describe a Risk, Control, and Key Control. Explain the Anti-Money Laundering (AML) Monitoring & Surveillance (M&S) Oversight Program. Identify the elements of the Risk and Control Matrix (RCM). Explain the AML M&S Oversight responsibilities. Differentiate between Ongoing Activities and Separate Monitoring Activities. Identify the purpose of the AML Control Working Group. To continue, click Next. Display the OST in progressive disclosure format. Display the above image in sync with text. The next button should be activated only when the entire OST is displayed. Transcript NA Interactivities NA Course Navigation Previous < NA Next > 02
Module Name: AML Monitoring & Surveillance Oversight Slide Name: AML and Sanctions Risks Screen No: 03 On-Screen Text Graphics Description What is a Risk? A risk is a possible event that could adversely affect the achievement of a desired outcome. State Street uses a risk identification process that contains the systematic listing of events that could affect the achievement of State Street’s AML and Sanctions objectives. Such events can be identified: In the external environment, such as a change in AML laws and regulations Within the organization’s internal environment, such as errors in the customer onboarding process Note: When these events intersect with State Street’s objectives, or can be predicted to do so, they become risks. Display the OST with the below image. Image ID: