The Program tab is your central workspace for building and managing your firm's AML/CTF compliance documents. It holds four document categories — Risk Assessment, Policy, Process, and Program — and tracks their readiness status in real time.
Status Bar
A Status Bar runs across the top of the Program tab at all times. It shows the current state of each of the four document categories and updates in real time as you upload, generate, approve, or review documents.
Each card shows the highest-priority status that applies:
| Priority | Status | When it shows |
|---|---|---|
| 1 | Under review | At least one document in the category is under review. |
| 2 | Review overdue | Any document in the category has a Next Review date that has passed. |
| 3 | Review due | Any document in the category has a Next Review date within the next 30 days. |
| 4 | Active | A current document exists with no outstanding actions. |
| 5 | No current documents | Documents exist in the category but none are marked as current. |
| 6 | No documents | No documents have been added to the category yet. |
Clicking a status card navigates you directly to the relevant document row. If the status is No documents, a tooltip appears prompting you to upload or generate a document.
Uploading and generating documents
Two actions are always available from the Program tab: Upload and Generate.
| Action | What it does |
|---|---|
| Upload | Opens a dropdown with four options: Risk Assessment, Policy, Process, Program. Select one to open the upload modal for that document type. Use this if your firm already has existing documents. |
| Generate | Opens the Generate Documents modal, which provides entry points to the guided wizard for each document type. Use this to build documents from scratch using Firm Verify's templates. |
Generate Documents modal
Clicking Generate opens a modal showing all four document types. Availability of each depends on conditions in your account:
| Document | Generate button condition |
|---|---|
| Risk Assessment | Available only after at least one Industry Segment has been added in Firm Profile. If no segments exist, a Go to Firm Profile button is shown instead, with the message: "Industry segments required in Firm Profile to generate risk assessment." Once segments are added, a notification in Firm Profile confirms the risk assessment is ready to generate. |
| Policy | Always available. |
| Process | Always available. |
| Program | Available only when at least one document marked as current exists in each of the three component categories: Risk Assessment, Policy, and Process. Until all three are met, a Pre-requisites banner is shown. Once all three are met, a Ready to Generate Program banner is shown instead. |
Generate Program wizard
The Generate Program wizard lets you assemble your AML/CTF Program by selecting which current documents to include from each category.
Document selection steps
The wizard has three document selection steps (Risk Assessment, Policy, Process) followed by a Finalise step. On each document selection step:
- All documents marked as current in that category are shown, with their title, version, tags, and status.
- Select one or multiple documents to include. At least one must be selected.
- Reorder selected documents by clicking and dragging.
- Click View on any document to read it before including it.
- Validation: "Please select at least one document to include in your program."
You can jump to any step using the sidebar without navigating sequentially. Sidebar items turn red when errors are present and green when complete. Errors show in real time without saving first.
Finalise Program
| Field | Required | Notes |
|---|---|---|
| Title | Required | Freeform text. Example: ML/TF/PF Risk Assessment |
| Version | Required | Freeform text. Example: 1.0 |
| Summary of Changes | Optional | Describe what changed in this version. |
| Mark as Reviewed | Optional | Toggle off by default. When toggled on, shows Date Reviewed, Next Review Due, and Reviewed By fields. |
| Date Reviewed | Conditional | Shown when Mark as Reviewed is on. Must not be a future date. |
| Next Review Due | Conditional | Shown when Mark as Reviewed is on. Must be a future date. |
| Reviewed By | Conditional | Shown when Mark as Reviewed is on. Select from current and archived users. |
Saving and review
| Action taken | Resulting status | Available options |
|---|---|---|
| Generated with Mark as Reviewed on | Approved | View |
| Generated with Mark as Reviewed off, then Save as Draft | Draft | Edit, Delete, Send for Review |
| Saved as Draft then Send for Review | Under Review | Reviewer: Review. Others: View, Cancel Review |
| Reviewer approves | Approved | View. Next Review date auto-set to 3 years from today (editable by reviewer). |
| Reviewer rejects | Rejected | Edit, Delete |
How saving affects the Status Bar
Saving a Program document updates the Program card in the Status Bar in real time:
| Document status | Status Bar — Program card | Why |
|---|---|---|
| Draft | No current documents | Document exists but has not been marked as current. |
| Approved | Active | A current document exists with no outstanding actions. |
| Under Review | Under review | At least one document is pending a reviewer's decision. |
Editing a Program document
Documents with Draft or Rejected status can be edited. Clicking Edit re-opens the Generate Program wizard (or the upload modal, if the document was uploaded) pre-populated with previously saved data. All fields are editable, including which component documents are selected and their order.
Frequently asked questions
Why can't I generate a Program?
The Program Generate button is only available when at least one document marked as current exists in each of the three component categories: Risk Assessment, Policy, and Process. Check the Status Bar — any category showing No documents or No current documents needs to be addressed first.
Why is the Risk Assessment Generate button showing "Go to Firm Profile" instead?
The Risk Assessment wizard requires at least one Industry Segment to be saved in your Firm Profile before it can run. Go to Settings > Firm Profile > Industry Segments and add your firm's segment, then return to the Program tab.
Can I include multiple documents from one category in the Program?
Yes. Each document selection step lets you select and include more than one current document from that category. You can also reorder them by dragging and dropping.
Does generating a Program affect the status of my Risk Assessment, Policy, or Process documents?
No. The component documents (Risk Assessment, Policy, Process) are not changed by generating a Program. The prerequisite check only evaluates whether current documents exist in each category — the Program document is separate from its components.