Casino SOP Department Coverage

AML / CFT SOP Coverage

AML/CFT SOPs detect, escalate, review, and document money laundering, terrorist financing, sanctions, and suspicious transaction risks in casino activity.

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Policy areas

Procedure topics

Forms, logs, and records

Department SOP Focus

Use this page to see the policy and procedure material your casino can request for this department: manuals, checklists, forms, logs, controls, and training-ready SOPs.

customer due diligence, transaction monitoring, suspicious activity, sanctions screening, high-risk players, and case files

Policy and Procedure Areas to Cover

Each group below can become one or more detailed SOPs depending on the size of the property, local regulation, systems used, approval levels, and internal control structure.

Customer due diligence

Customer identification
CDD file creation
Enhanced due diligence
PEP screening
Sanctions screening
Source-of-funds review
High-risk customer approval
CDD refresh

Transaction monitoring

Large cash transaction review
Transaction aggregation
Structuring detection
Chip walking review
Minimal play review
Multiple buy-in review
Ticket-in/ticket-out abuse review
Marker activity review

Suspicious activity escalation

Staff suspicious activity referral
AML case opening
Surveillance support request
Security support request
AML officer review
SAR/STR decision
No-tip-off control
Case closure

Reporting and regulatory duties

Suspicious activity report preparation
Large transaction report where applicable
Regulator information request
Law enforcement request
AML board or management report
Late filing escalation
Record retention

Training and risk assessment

AML training assignment
AML refresher training
AML knowledge test
Department risk assessment
Product risk assessment
AML policy review
Independent AML audit support

Forms, Logs, Reports, and Control Records

A useful casino procedure should leave an audit trail. These are the supporting records this department normally needs.

CDD file
EDD file
Transaction monitoring alert
AML case file
SAR/STR record
Training record
AML risk assessment

Coordination and High-Risk Control Points

Departments That Usually Coordinate Here

SOPs should show when the department must notify, escalate to, request support from, or obtain approval from other departments.

Cage
Tables
Slots
Credit
Surveillance
Security
Compliance
Marketing
Finance

High-Risk SOP Areas

These areas need stronger approvals, logs, dual control, surveillance review, compliance review, or management sign-off.

Structuring
Chip walking
Sanctions breach
Tipping off
Missing CDD
Unreported suspicious activity

How to Start With This Department

Your casino can begin with one focused SOP package for this department before committing to a full casino-wide manual.

New SOP package

Write a clean AML / CFT procedure set from scratch with roles, steps, approvals, records, exceptions, and escalation points.

Existing SOP rewrite

Take old or unclear procedures and rewrite them into practical, audit-ready, training-friendly documents.

Forms and checklists

Create the logs, forms, opening checks, exception reports, approval records, and supervisor checklists needed to support the SOPs.

Request This Department SOP Package

Send the department name, current problem, jurisdiction or market, and whether the work is a new SOP, rewrite, checklist pack, or full department manual.

A strong first project is usually one department, one operational risk, and one clear deliverable. After that, the structure can expand across the full casino manual.

Request AML / CFT SOP Work

Use the contact page and mention this department. Sensitive customer or employee data is not needed for the first scope discussion.

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