The document outlines the procedures for a quarterly assessment of mortgage broker-applicants approved and funded by MortgagelT. The assessment evaluates the adequacy of the Customer Identification Program (CIP) controls and includes a review of PCR alert escalations. The results are shared with DB AML Compliance and MIT Compliance Management.
doj/DataSet10/EFTA01372650.pdf
{"title":"Quarterly MortgagelT Broker-applicants AML/NCA File Assessment","key_people":["GM AML Compliance Officer","Head of Branch Operations Support Services","Head of GM AML Compliance","Head of AML Compliance for the Americas"],"document_type":"correspondence","document_subtype":"assessment","key_organizations":["MortgagelT","DB AML Compliance","MIT Compliance Management","Deutsche Bank Group"],"reference_numbers":["DB-SDNY-0066442","SDNY_GM_00212626","EFTA01372650"]}