AML Compliance - Help Guide

11/06/2025
Knowledge

How To

The LEAP AML Compliance App provides a centralised platform within LEAP to manage Unusual Activity, Suspicious Activity and Prescribed Transaction Reports as required. In addition to this management, the AML Compliance enables firm Compliance Officers to submit reports to the New Zealand Police Financial Intelligence Unit (FIU), leveraging the easy-to-use integration with the NZ Police’s GoAML portal.

AML Compliance functions include:

Creating, validating, exporting AML Reports
Generating monthly Reports
Setting search, sorting and filter criteria

Providing simplified user friendly platform, this app will save you hours of what would otherwise be manual, repetitive work.

How to Access

From the LEAP Matter List, click the LEAP Menu > Accounting > click AML Compliance.

The AML Compliance app will open in a new window.
Allow permissions.

If the AML Compliance app is not appearing under LEAP Menu > Accounting, please follow these steps to restore it:

Navigate to the LEAP Menu and select Marketplace.
Choose any app (e.g., Workflow, Transaction Requests, IBD App).
Enable the selected app, then disable it again.
Go to Menu > Accounting > AML Compliance to confirm the app has been restored.

How to Login

Click GoAML Login at the top-right corner of the window.
Enter your Username and Password provided by the Financial Intelligence Unit.

Once logged in successfully, direct submission to the GoAML Portal will be enabled.

Information Required

Once the app is opened, proceed to selecting the following during initial set up:

Start date
Cash threshold - automatically set
International threshold - automatically set
Administrative matter

Then, click Next.

Click to edit heading

Upon initialisation, the application initiates a search for newly generated transactions since the last reconciliation process. Any transaction meeting the specified threshold within the preferences will trigger an automated report creation. The AML app will specifically identify Trust or Investment transactions categorised under 'Cash' or 'International' payment types.

Create a Report

Click to edit heading

The Prescribed Transactions Reports (PTRs) are automatically generated based on the thresholds listed in the AML Criteria window.

Unusual Activity

Report type, Status, Last Updated and Country fields are read only.

Select Indicator Type from the drop-down menu.
Add Report Parties by searching for cards.
Provide Reason and Action taken.
Click Create Report.

Suspicious Activity

Report type, Status, Last Updated and Country fields are read only.

Select Indicator Type from the drop-down menu.
Add Report Parties by searching for cards.
Provide Reason and Action taken.
Click Create Report.

Search for a Transaction

Click to edit heading

The reason for the search transactions is for manual override or for a series transactions that meet the thresholds.

Transaction type, number, date and total amount is Read only.

Select Start Date and End Date range.
Enter Search Term (optional).
Click Search.
From the Search List, select the transaction you would like to Report.
Select Report Type from the drop-down menu.
Select Indicator Type from the drop-down menu.
Click and confirm Office Receipt/Trust Receipt.
Select Start Date and End Date range.
Enter Search Term and click Search if you would like to search for transactions from within the Create Report window.
Click Create Report.

Edit Report and Export

Click a Report in your list.

The Report window will open on the right.
Confirm details required, Report ID, Indicator Type, Location and Transaction mode.
In the From My Client - Person and To Account tabs, confirm details, update Card details in LEAP if there are any alert messages.
When you are done, click Save & Close.
To export Report, Click Export.
The Save File will open in a new window.
Select the location on your PC to export the file.
Click Save.
Click Submit Report for direct submission to the GoAML portal.

Exporting or submitting a report will save a copy of the generated XML under the documents section of each respective card.

Report Status

Reports will have varying report statuses as they proceed from being initially raised to finally exported. There are also statues for validation errors in the GoAML Portal and when Reports are overdue for export or submission.

Report Status	Description
INTERIM	A report with an ‘INTERIM' status are newly created from the reconciliation process or from the 'New Report’ feature.
IN PROGRESS	A report is 'IN PROGRESS' when a user opens the report for the first time and makes some minor changes. The report still has some mandatory fields to be addressed.
REVIEWED	Similar to the ‘IN PROGRESS' status; a report is considered to be 'REVIEWED' when all mandatory fields are provided, thus it is ready to be exported. Upon exiting a report, validation logic is run to check this.
EXPORTED	The 'EXPORTED' status is reached when the user exports the XML report.
COMPLETED	A report is ‘COMPLETED' when the ‘Report ID’ field has been updated with the ID issued by the FIU portal when the exported XML report has been manually updated. With FIU integration implemented, the 'Report ID' field will link the statuses as shown in the portal.
FAILED	A report with a 'Failed' status indicates a validation error in the GoAML portal. To investigate the error, access the portal from within the Report or log into the portal manually.
OVERDUE	A report with a 'Overdue' status indicates when reports are older than 3 days for Activity Reports and 9 days for Prescribed Transactions Reports (PTR) from the date of the transaction.
SUBMITTED	A report with a 'SUBMITTED' status indicates the report has been submitted to FIU.

Sorting, Searching, Filtering & Archiving

The AML Compliance application is designed to be flexible to meet your workflow's needs. To help you find what you're looking for, it provides four primary techniques for reducing the amount of content on display.

Sorting

You can click on any of the column headings to sort the list:

Searching

You can search a keyword using the Search reports textbox at the top left-hand corner of the window and it will immediately filter the current view.

Filter

From the AML Compliance report list, click the filter icon at the top right-side.
Set Cash and International Thresholds, any cash transaction exceeding that value the app will create an interim report.
Use the date picker to choose the Start and End dates to display the Reports list for that date range.
Under Status report filter reports in the list by clicking on Overdue or Incomplete Reports.

Advanced Filter

You may specify more advanced conditions to reduce the complexity of the current view.

Click Advanced Search to open window. Choose the conditions you would like to filter by.

Report Type
Report ID
Report Status
Matter No.
Client

Click + to add more conditions

Click - to remove conditions

Archiving Reports

You may archive or unarchive reports by clicking on the menu icon for each report.

Export Monthly Report

From the AML Compliance report list, top right side click Export Monthly Report.
Export Monthly Report will open in a new window.
Select Month and Year.
Click Export Report.
The Save File will open in a new window.
Select the location on your PC to export the file.
Click Save.

AML Compliance Management

The AML Compliance Management App equips Compliance Officers and Principals with powerful tools via a user-friendly Dashboard.

Accessing the Dashboard

From the LEAP Matter List, click the LEAP Menu > Accounting > click AML Compliance.

The AML Compliance app will open in a new window.
Click on AML Management located in the top right of the AML Reports list page.

AML Management

Matter Risk Assessment

This table portrays a pie chart of Completed Risk assessments against total Matters in a defined time range.

Matter Risk Assessment

Bar graphs depicting different levels of Due Diligence:

Simplified;
Standard; and
Enhanced

and Risk Assessment:

Low;
Medium; and
High

offering a visual breakdown of the data extracted from the Compliance table type within a Matter.

Client CDD and Source of Funds Check

This graph depicts the Client Due Diligence and Source of Funds Check for every month in a defined time range.

Client CCD and Source of Funds Check

Data is extracted from the Critical Dates list once Due Diligence and Source of Funds are checked in the Compliance table.

If the Source of Funds Check is not completed in the Compliance table then a check is done in the Client Card.

AML Management Table

Name	Description
Matter	Matter number, type and client name. Click on Matter number to open Matter from within the app.
Instruction Date	Instruction Date from Critical Dates. Hover cursor and number of days since Instruction Date will be displayed in a tooltip.
Matter Risk Assessment	If status is Complete or Incomplete. Extracted from the Compliance table type.
Client Risk Level	Client risk rating - Low, Medium, or High. Extracted from the client card.
Due Diligence	Level of Due Diligence - Simplified, Standard or Enhance Risk. Extracted from the Compliance table type.
Risk Assessment	Level of Risk Assessment Level - Low, Medium or High. Extracted from the Compliance table type.
Client CDD Status	The Client Due Diligence Status is revised upon entering a date in the Compliance table type. If the aforementioned field is left blank, the application will retrieve information from the Client card, indicating this with a (!) adjacent to the Status.
Source of Funds	When the Source of Funds is checked field is populated in the Compliance table type. Date is extracted from Critical Dates. Hover over status and date will displayed in a tooltip.
PEP	Politically Exposed Person from the Client Card when checked.
Resp.	Person responsible for the Matter.
Status	Matter status as in LEAP.

Additional Features

Advanced Filters: A more detailed search using pre existing parameters. Close a parameter and using the dropdown select one or multiple options.
Search Matters: Quickly search for a Matter by entering Matter number or Client name.
Date picker: Change date range on the fly to quickly modify your search.
Refresh button: Click on the Refresh icon to reload the page without having to close and opening the app again. This allows for seamless data updates when changes are done by others users in the firm.
Export to CSV: Download a CSV report with data extracted from the AML Management table within the defined date range.

Last Modified Date

11/06/2025 4:36 pm

Title

AML Compliance - Help Guide

URL Name

AML-Compliance-Help-Guide-NZ

Resolution