Compliance function

Compliance function readiness checker

Check the management member, manager, officer, independence, resources, escalation, policy, training, testing, and contact workflow.

Saved answers stay in closed lists: activity_band, role_band, kind_band, base_band, article_band, delay_band, documented_band, party_band, product_band, geo_band, channel_band, txn_band, sanctions_band, approval_band, refresh_band, owner_band, lead_band, manager_band, officer_band, independence_band, resource_band, escalate_band, policy_band, training_band, testing_band, fiu_band, relation_band, occasional_band, value_band, cash_band, linked_band, gambling_band, doubt_band, veracity_band, nation_band, entity_info_band, control_map_band, who_process_band, source_process_band, mismatch_band, arrangement_band, retention_band, update_band, plan_scope_band, plan_role_band, plan_risk_band, plan_policy_band, plan_function_band, plan_cdd_band, plan_cash_band, plan_report_band, plan_training_band, plan_retention_band, plan_nation_band, plan_ready_band, plan_delay_band

Is a management member responsible?Is compliance-manager responsibility assigned?Is the compliance-officer function assigned?Are authority and independence described?Are resources assigned?Is the escalation line described?Is policy ownership assigned?Is staff training planned?Is control testing planned?Is the contact workflow ready?

What the function screen checks

It checks whether the compliance-manager and compliance-officer functions, a responsible management member, and the supporting controls are assigned. It does not store employee names.

Who should use it

People designing the compliance function, the reporting line, and the training plan.

How results work

A missing lead, manager, or officer is a role gap. Missing independence, resources, escalation, policy, training, or testing is a control gap. A missing contact workflow is action required.

What this checks

Regulation (EU) 2024/1624 applies generally from 2027-07-10. Article 3(3)(n) and (o) categories apply from 2029-07-10. The regulation is directly applicable, and a Member State may keep a stricter rule where the regulation allows it. The EU large-cash baseline is EUR 10,000 and linked transactions count. A gambling figure of EUR 2,000 applies only to the specified activity.

Official sources

Use the internal-control and compliance-function provisions of Regulation (EU) 2024/1624. Directive (EU) 2024/1640 matters where national supervision sets the contact path.

Limitations

The contact flag only means the workflow exists. It does not tell anyone to file or not to file. Staff identities stay out of the record.

Using the function screen

Assign three seats

Management member, compliance manager, and compliance officer are separate yes or no answers.

Describe the line

Authority, independence, resources, and escalation need to be written down before the screen can show ready.

Plan training and testing

A gap in either one is a control gap, even if the seats are filled.

Function questions

Are staff names saved?

No. The screen stores only whether a seat exists.

Does ready mean a filing decision?

No. The contact answer only says the workflow is ready to use.

What is a role gap?

The management member, the compliance manager, or the officer is marked no.

What is a control gap?

Independence, resources, escalation, policy, training, or testing is marked no.