The Client Risk Assessment Form is a critical compliance tool used by New Zealand organizations to evaluate and document the level of risk associated with new and existing client relationships. This document is essential for meeting obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and other relevant New Zealand regulations. It enables organizations to collect and assess key information about clients, including their identity, business activities, source of funds, and various risk factors. The form supports organizations in applying a risk-based approach to client due diligence, helping them determine appropriate levels of due diligence and ongoing monitoring requirements. It serves as both a practical tool for risk assessment and a documentary evidence of compliance with regulatory obligations.
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1. Client Information: Basic identification and contact details of the client, including full name, date of birth, address, and contact information
2. Purpose of Business Relationship: Client's intended purpose and nature of the business relationship with the organization
3. Source of Funds/Wealth: Information about the client's source of funds and wealth, including supporting documentation
4. Risk Factor Assessment: Evaluation of key risk factors including geographic risk, product/service risk, delivery channel risk, and client type risk
5. PEP Status Declaration: Declaration regarding Politically Exposed Person status and associated relationships
6. Assessment Summary: Overall risk rating calculation and justification for the assigned risk level
7. Due Diligence Measures: Specification of the level of due diligence required (simplified, standard, or enhanced)
8. Reviewer Information: Details of the staff member conducting the assessment, including their role and sign-off
1. Entity Structure: For corporate clients - details of ownership structure, beneficial owners, and control arrangements
2. Industry-Specific Risk Factors: Additional risk factors specific to certain industries or business types
3. Transaction Profile: Expected transaction patterns and volumes, used for high-value or complex business relationships
4. Sanctions Screening: Additional sanctions screening section for high-risk clients or international transactions
5. Related Party Information: Information about associated individuals or entities, used when complex relationships exist
1. Risk Matrix: Detailed risk scoring matrix showing how different factors contribute to the overall risk rating
2. Required Documentation Checklist: List of required documents based on client type and risk level
3. Geographic Risk Classifications: Reference list of country risk ratings and classifications
4. Industry Risk Classifications: Reference list of industry types and their associated risk levels
5. Monitoring Requirements: Schedule of ongoing monitoring requirements based on risk level
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Investment Management
Legal Services
Accounting Services
Real Estate
Trust and Company Service Providers
Financial Advisory
Wealth Management
Credit Providers
Foreign Exchange Services
Relevant Teams
Compliance
Risk Management
Legal
Client Onboarding
Operations
Customer Due Diligence
Front Office
Client Relations
Regulatory Affairs
Internal Audit
Relevant Roles
Compliance Officer
Risk Manager
AML/CFT Compliance Manager
Client Onboarding Specialist
Due Diligence Officer
Relationship Manager
Compliance Analyst
Risk Assessment Specialist
Senior Compliance Manager
Client Services Manager
Legal Counsel
Operations Manager
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