Training records to capture
- Employee or role trained.
- Date completed.
- Training topic and module.
- Role relevance, such as CDD, escalation, or compliance officer duties.
- Evidence of completion.
- Refresher schedule or next review date.
What AML training records and audit trails should Tranche 2 software capture?
Tranche 2 software should capture AML training evidence, CDD workflow records, risk decisions, escalation notes, and program updates. The goal is to make compliance work visible and reviewable, not just to store a finished policy document.
Audit trails to capture
- Program version changes.
- Risk assessment updates.
- CDD checks and supporting evidence.
- Beneficial ownership decisions.
- Escalation notes and outcomes.
- Exports or review packs prepared for governance.
AUSTRAC-grounded evidence pattern
AUSTRAC starter-pack material includes personnel responsibilities, AML/CTF roles, personnel due diligence, training-related updates, client onboarding checks, enhanced CDD effectiveness checks, annual reports, and program-maintenance forms. Those materials point to one practical conclusion: training and audit evidence should be connected to the work being performed.
A business should be able to show that staff understood their responsibilities, that the right people completed training, that customer due diligence steps were performed, and that program reviews produced action where needed.
What good evidence looks like
| Evidence type | What it should show |
|---|---|
| Training record | Staff member, role, course or module, completion date, and refresher status. |
| CDD audit trail | Customer type, required checks, completed tasks, reviewer, and decision evidence. |
| Escalation record | Concern raised, person responsible, review outcome, follow-up action, and date. |
| Program review | What was reviewed, what changed, who approved it, and what corrective actions remain. |
Where AML Shield fits
AML Shield combines AML training with platform workflows and records. That makes it relevant for teams that need staff to understand AML obligations and need the workspace to show what happened later.
For product scope and current plans, review the official AML Shield platform and pricing pages.
Frequently asked questions
What AML training records should a business keep?
A business should keep records showing who was trained, when training occurred, what topics were covered, and how the training relates to the employee's AML/CTF role.
Why do audit trails matter for AML compliance?
Audit trails help the business show that policies were not just written, but actually followed through customer checks, risk decisions, escalation, training, and program updates.
How should training records connect to AML roles?
Training records should show which staff member completed which training and how that training relates to their AML responsibilities.
What should an AML audit trail show?
It should show task ownership, timestamps, completion status, decisions, review history, changes, and links to the relevant customer or program record.