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AML Risk Assessment Matrix

AML Risk Assessment Matrix Template for Austria

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Key Requirements PROMPT example:

AML Risk Assessment Matrix

"I need an AML Risk Assessment Matrix for our newly established cryptocurrency exchange in Austria, which needs to be compliant with both crypto-specific regulations and standard AML requirements, with particular emphasis on virtual asset transaction monitoring and cross-border payment risks."

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Document background
The AML Risk Assessment Matrix is a mandatory compliance tool required under Austrian Financial Market Anti-Money Laundering Act (FM-GwG) and EU AML directives. This document is essential for organizations operating in Austria that need to systematically assess and document their exposure to money laundering and terrorist financing risks. It provides a structured methodology for evaluating customer, product, geographic, and operational risks, incorporating specific Austrian regulatory requirements and FMA guidelines. The matrix should be regularly updated to reflect changes in the risk landscape and regulatory environment, serving as a cornerstone document for AML compliance programs and risk management strategies.
Suggested Sections

1. 1. Introduction and Purpose: Explains the objective of the risk assessment matrix and its role in the organization's AML compliance framework

2. 2. Regulatory Framework: Overview of applicable laws, regulations, and guidelines that form the basis of the assessment

3. 3. Risk Assessment Methodology: Explains the scoring system, risk categories, and how overall risk levels are determined

4. 4. Customer Risk Factors: Assessment of risks related to customer types, including PEPs, high-risk countries, and complex ownership structures

5. 5. Product and Service Risk Factors: Evaluation of risks associated with different products, services, and transaction types

6. 6. Geographic Risk Factors: Assessment of risks related to countries, regions, and jurisdictions

7. 7. Channel and Distribution Risk Factors: Analysis of risks associated with delivery channels and distribution methods

8. 8. Risk Mitigation Measures: Description of controls and measures implemented to address identified risks

9. 9. Risk Monitoring and Review: Procedures for ongoing monitoring and periodic review of risk assessments

Optional Sections

1. Industry-Specific Risk Factors: Additional section for organizations operating in specific sectors with unique risk factors

2. Technology Risk Assessment: For organizations with significant digital operations or crypto-assets

3. Group-Level Considerations: For organizations that are part of a larger corporate group or have international operations

4. Sanctions Risk Assessment: Detailed section on sanctions risks when dealing with high-risk jurisdictions or sensitive industries

Suggested Schedules

1. Appendix A: Risk Scoring Matrix: Detailed scoring tables and criteria for each risk factor

2. Appendix B: Country Risk Classifications: List of countries and their risk categorization based on FATF and EU assessments

3. Appendix C: Customer Risk Assessment Questionnaire: Standard questionnaire for customer risk evaluation

4. Appendix D: Risk Factor Heat Map: Visual representation of risk levels across different categories

5. Appendix E: Control Effectiveness Assessment: Evaluation framework for assessing the effectiveness of risk mitigation measures

6. Schedule 1: Review and Update Log: Record of matrix reviews and updates

7. Schedule 2: Approval and Sign-off Sheet: Documentation of management approval and review

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok成人版 | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions







































Clauses






























Relevant Industries

Banking and Financial Services

Insurance

Real Estate

Professional Services

Cryptocurrency and Virtual Assets

Gaming and Gambling

Precious Metals and Jewelry

Investment Management

Payment Services

Legal Services

Accounting Services

Art and Antiquities

Relevant Teams

Compliance

Risk Management

Internal Audit

Legal

Operations

Customer Due Diligence

Transaction Monitoring

Regulatory Reporting

Know Your Customer (KYC)

Financial Crime Prevention

Relevant Roles

Chief Compliance Officer

AML Officer

Risk Manager

Compliance Analyst

Money Laundering Reporting Officer (MLRO)

Compliance Director

Risk Assessment Specialist

Internal Auditor

Legal Counsel

Chief Risk Officer

Regulatory Compliance Manager

Business Unit Manager

Senior Compliance Consultant

Industries







Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks, 聽Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination, 聽Severance Pay, Governing Law, Entire Agreemen

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