Staff Management

Verifia provides tools to manage your team's AML/CTF responsibilities, training, and suitability assessments. Under the AML/CTF Act, you must ensure that personnel involved in providing designated services are suitable, trained, and properly supervised.

Inviting team members

1. Navigate to Settings > Staff Management
2. Click Invite Team Member
3. Enter their email address
4. Assign a role:
   • Compliance Officer — full system access; can approve KYC cases, authorise reports (including SMRs), manage the AML/CTF program, and access all Vault records
   • Manager — can manage customers, create KYC cases, view and action alerts, and access training records; cannot approve SMRs, modify the program, or access SMR-related records
   • Staff — can create customers and manage KYC cases for their assigned customers; limited dashboard access; cannot view SMR records or other users' cases
5. The invitee receives an email with setup instructions, including mandatory two-factor authentication (2FA)

Personnel Due Diligence

AUSTRAC requires all industries to conduct personnel due diligence before a team member starts handling AML/CTF responsibilities. Verifia tracks the full lifecycle:

Before the role begins

1. Navigate to their profile in Staff Management
2. Click Conduct Due Diligence
3. Complete the suitability assessment form:
   • Identity verification — confirm the person's identity
   • Suitability assessment — evaluate whether they are an appropriate person for AML/CTF responsibilities, considering their experience, qualifications, and character
   • Background information — record any relevant background checks conducted (where legally permitted)
4. Record the assessment outcome:
   • Suitable — cleared for AML/CTF responsibilities
   • Conditionally Suitable — cleared with conditions (e.g., additional supervision, restricted access)
   • Unsuitable — not cleared for AML/CTF responsibilities at this time
5. Assign their AML/CTF role and schedule initial training (must be completed before they start providing designated services)

During the role

Verifia tracks each team member's DD status: Pending → Passed → Review Due → Flagged

The system alerts you when:

• A scheduled review is approaching or overdue
• A role change triggers the need for reassessment (e.g., staff member promoted to manager)
• A new team member has not yet had their initial assessment completed
• Periodic review dates arrive (based on your program's defined cycle)

When issues arise

If concerns are identified about a team member during their role:

1. Investigate the concern and record your findings
2. Reassess their suitability using the DD form
3. Document the outcome and any actions taken
4. Consider whether the matter warrants an SMR
5. Update their DD status accordingly (e.g., change to Flagged or Conditionally Suitable)

At departure

When a team member leaves, the departure procedure below ensures proper handover, access removal, and documentation — all recorded in the audit trail.

Training management

Assigning training

1. Navigate to Settings > Training
2. Verifia provides built-in AML/CTF training modules covering:
   • Introduction to AML/CTF and your obligations as a Tranche 2 reporting entity
   • Recognising suspicious behaviour and common ML/TF indicators
   • Customer due diligence procedures
   • Reporting obligations (SMR, TTR) and deadlines
   • The tipping-off prohibition
   • Industry-specific content tailored to your sector
3. Assign modules to team members based on their role and responsibilities
4. Set training deadlines — initial training should be completed before the person starts providing designated services or handling AML/CTF tasks

Tracking completion

The training dashboard provides a clear overview of your team's training status:

• Who has completed their assigned training
• Who has training overdue
• Quiz scores and pass/fail results
• Next training due dates for each team member
• Overall training compliance percentage — reflected in your Compliance Health Score

Refresher training

Verifia automatically schedules refresher training based on the training cycle defined in your AML/CTF program (typically annually). Notifications are sent to:

• The team member when their refresher is approaching or overdue
• The Compliance Officer when any team member's training becomes overdue

Delegation management

When the Compliance Officer is temporarily unavailable (leave, illness, travel):

1. Navigate to Settings > Delegation
2. Designate a temporary delegate — this must be a suitably senior person
3. Set the delegation period (start and end dates)
4. The delegate receives Compliance Officer permissions for the specified period
5. All actions taken by the delegate are logged against their own identity — the audit trail clearly distinguishes between the Compliance Officer's actions and the delegate's actions

Delegation should be formally documented as part of your compliance records.

Departure procedures

When a team member leaves the organisation or moves out of an AML/CTF role:

1. Navigate to their profile and click End Role
2. Complete the departure checklist:
   • Reassign open cases — transfer any open KYC cases to another team member
   • Transfer pending tasks — reassign any pending compliance tasks, alerts, or follow-ups
   • Remove system access — revoke their Verifia permissions and any other system access
   • Document the handover — record what was transferred, to whom, and any outstanding matters
3. The departure is recorded in the audit trail with the date, handover details, and confirmation of access removal