Prompt lesson · 18 prompts
Anti-Money Laundering Checks prompts for Compliance Analysts
18 ready-to-use prompts from our AI for Compliance Analysts course. Copy one, fill in the {{placeholders}}, and paste it into ChatGPT, Claude, Gemini or any other AI.
AML Audit Preparation Checklist
Use this when you need to prepare for an AML audit by generating checklists and guidelines.
Role You are a compliance and anti-money laundering (AML) expert, helping to build comprehensive audit preparation materials that ensure regulatory compliance.
Context you provide
- {{regulatory_jurisdiction}}: The jurisdiction(s) whose AML regulations apply (e.g., FinCEN, EU directives).
- {{business_operations}}: A brief description of the business and its AML risk profile.
- {{existing_controls}}: Any current AML procedures or documentation in place.
Instructions
- Ask for the regulatory jurisdiction, business operations, and existing controls if not provided.
- Analyze the latest AML regulations relevant to the jurisdiction and summarize key compliance requirements.
- Generate a detailed audit preparation checklist covering documentation, transaction monitoring, customer due diligence, and reporting.
- Outline best practices for risk assessment and internal controls.
- Provide a framework for organizing audit evidence and responding to auditor requests.
Output format Present a structured checklist with categories, sub-items, and space for notes. Use clear headings and bullet points. Tone should be formal and precise.
Guardrails Do not invent specific regulatory requirements; flag that regulations vary by jurisdiction. Do not provide legal advice. Stay within AML audit scope.
Example Jurisdiction: US (FinCEN); business: online payment platform; existing controls: basic KYC, no automated monitoring.
Open this prompt Planning · Advanced
AML Policy Review and Enhancement
Use this when you need to analyze and improve existing Anti-Money Laundering policies to reduce compliance risk.
Role You are a compliance and AML expert who reviews policies against current regulations and best practices, identifying gaps and suggesting practical improvements.
Context you provide
- {{current_policies}}: The existing AML policies or relevant excerpts.
- {{regulatory_guidelines}}: The latest regulations or standards to align with (e.g., FATF, local laws).
- {{risk_areas}}: Specific areas of concern (e.g., customer due diligence, transaction monitoring).
Instructions
- If any required context is missing, ask for it before starting.
- Review the provided policies systematically, noting strengths and weaknesses.
- Compare against the given regulatory guidelines and flag any inconsistencies or gaps.
- Prioritize recommendations based on potential compliance risk.
- Suggest clear, actionable refinements for each identified issue.
Output format Provide a structured analysis with sections: Executive Summary, Key Findings, Gaps and Risks, Recommendations (prioritized), and Next Steps. Use professional language and bullet points for clarity.
Guardrails
- Do not invent regulatory requirements; base analysis only on provided guidelines.
- Flag any assumptions about the organization's risk appetite.
- Stay within the scope of AML policy review; do not provide legal advice.
Example {{current_policies}}='Our CDD policy requires ID verification for all clients, but no ongoing monitoring.', {{regulatory_guidelines}}='FATF 2023 recommendations', {{risk_areas}}='customer due diligence, transaction monitoring'.
Open this prompt Analysis · Advanced
AML Reporting and Documentation
Use this when you need to generate reports and maintain documentation for AML compliance.
Open this prompt Creating · Intermediate
Analyze AML Data and Generate Reports
Use this when you need to analyze transaction data for anti-money laundering (AML) red flags and produce compliance reports.
Open this prompt Analysis · Intermediate
Automate AML Risk Scoring
Use this when you need to automate risk assessment for customers or transactions based on AML factors.
Open this prompt Analysis · Intermediate
Automate Customer Due Diligence
Use this when you need to design a chatbot to automate the collection and verification of customer information for due diligence.
Open this prompt Creating · Advanced
Automate Sanctions Screening
Use this when you want to design an automated system to screen customers against global sanctions lists.
Open this prompt Planning · Advanced
Automate Suspicious Activity Reporting
Use this when you need to design an automated system to detect and report suspicious activities to regulators.
Open this prompt Planning · Advanced
Customer Risk Profiling
Use this when you need to develop AI-driven risk profiles for customers to support AML compliance.
Open this prompt Analysis · Advanced
Develop Interactive AML Training
Use this when you need to create engaging, role-specific AML training modules for employees.
Open this prompt Creating · Intermediate
Enhanced Due Diligence Investigation
Use this when you need to conduct in-depth investigations on high-risk customers for enhanced due diligence.
Open this prompt Analysis · Advanced
Enhanced Transaction Filtering System
Use this when you need to design or improve a system for flagging suspicious transactions.
Open this prompt Creating · Advanced
Monitor Transactions for Suspicious Activity
Use this when you need to analyze transaction patterns to identify unusual or potentially suspicious activities.
Open this prompt Analysis · Intermediate
Real-Time Transaction Monitoring Automation
Use this when you need to design or improve an automated system for real-time monitoring of financial transactions to detect suspicious activity.
Open this prompt Automation · Advanced
Review Customer Due Diligence Data
Use this when you need to analyze customer information to identify red flags or inconsistencies for compliance.
Open this prompt Analysis · Intermediate
Screen Against Sanctions Lists
Use this when you need to screen an individual or entity against a specific sanctions list for compliance.
Open this prompt Analysis · Beginner
Track Regulatory Compliance Updates
Use this when you need to stay current on AML regulations and understand their impact on your business.
Open this prompt Research · Intermediate
Transaction Risk Assessment
Use this when you need to assess the risk level of customers or transactions based on historical data.
Open this prompt Analysis · Intermediate