Generate a Process | Firm Verify Help

Generate a Process

The Create Process wizard guides you through building your firm's AML/CTF Process document in Firm Verify. It covers the step-by-step operational procedures your firm needs to carry out its AML/CTF obligations — from client due diligence through to governance, reporting, and escalations.

How Generate Process differs from Generate Policy The Process wizard follows the same workflow as Create Policy but each process item has two additional fields: Responsibility (who carries out the step) and Required (whether the step is Mandatory or Optional).

How to start

1	Go to Firm > Program.

2	Click Generate. The Generate Documents modal opens.

3	Click Generate on the Process card.

4	The Create Process wizard opens. Work through each step using the left-hand sidebar, or click any step to jump directly to it.

Generate Documents modal — Process card highlighted, Program disabled until all prerequisites are met

Wizard sections and steps

The Create Process wizard has four sections. Each section contains multiple steps, and each step contains pre-filled process items.

Create Process wizard — Client Due Diligence section, Client Risk Rating and Ongoing CDD step showing process items with Responsibility and Required columns

Section	Steps
Client Due Diligence (CDD)	Client Risk Rating & Ongoing CDD Statutory Declaration Verify the Nature & Purpose of the Practice Relationship Source of Funds & Source of Wealth Check
Screening and Checks	Sanctions Check Politically Exposed Persons Check Adverse Media Check
Personnel	Identify Personnel Beneficial Ownership
Governance and Reporting	Annual Report to the Governing Body AUSTRAC Communications Annual Compliance Report AUSTRAC Enrolment Update Country Risk and Risk Ratings Update Inherent Risk and Risk Ratings Independent Evaluation Escalating Matters

Responsibility and Required

Every process item has two fields that don't appear in the Policy wizard:

Create Process wizard — Personnel section, Identify Personnel step showing Responsibility and Required dropdowns with Details field expanded

Field	Options	What it means
Responsibility	All personnel Client-facing staff Compliance Officer Senior Management	Who is responsible for carrying out this step. Each item has a default set; change it to reflect your firm's structure.
Required	Mandatory Optional	Whether the step is mandatory for your firm. Mandatory steps must be performed; Optional steps are recommended but may not apply to every firm.

Editing process content

Each step contains pre-filled process items. Expand any item to reveal its Details text field — editable free text describing how your firm carries out that step.

Edit any item's Details text, Responsibility, or Required setting.
Add new items using the Add process + button at the bottom of each step.
Delete items using the bin icon. A confirmation is shown before removal.
Restore deleted defaults using the Add process + button and selecting from the restore list.

Completing the process

Once all steps have been visited and there are no outstanding errors, the Generate Process button is enabled on the Finish step. An attention bar lists any incomplete steps.

Click Generate Process. Firm Verify generates your process document and immediately asks whether you want to send it for review.

Select Send for Review to assign a reviewer — status moves to Under Review.
Select Cancel to return to the Program screen — document is saved as Draft.

Document statuses

Status	When it applies	Available actions
In Progress	Saved using Save for later, before generating.	Edit, Delete
Draft	Generated but not yet sent for review.	Edit, Delete, Send for Review
Under Review	Sent to a reviewer, awaiting decision.	Reviewer: Review. Others: View, Cancel Review
Approved	Reviewer has approved. Next review date auto-set to 3 years from today.	View
Rejected	Reviewer has rejected with a comment.	Edit, Delete

Saving and cancelling

Button	Behaviour
Save for later	Saves progress without full validation. Title and Version are required. Status set to In Progress.
Generate Process	Available on the Finish step only, when all steps have been visited and are complete. Generates the document and prompts Send for Review.
Cancel	If changes exist, shows a Discard confirmation. Choose Discard to exit without saving, or Go Back to continue editing.

Frequently asked questions

What is the difference between the Process and the Policy?

The Policy sets out your firm's overarching AML/CTF commitments and approach. The Process provides the step-by-step operational procedures for carrying those commitments out — including who does each step and whether it is mandatory. Together they form your AML/CTF Program.

Can I change the Responsibility or Required setting on any item?

Yes. Both fields are editable on all items, including defaults. Update them to reflect your firm's actual roles and obligations.

Do I have to complete all steps in order?

No. You can jump to any step using the sidebar. However, you must visit every step at least once before the Generate Process button is enabled.