Risk Assessments
Restricted accessRisk scoring across client, matter, transaction, and conduct dimensions — with mitigation owners and deadlines.
Risk categories
Client riskMatter riskJurisdiction riskTransaction riskSource of funds riskSource of wealth riskSanctions riskPEP riskBeneficial ownership riskDelivery channel riskSector riskUrgency riskReputational riskRegulatory riskProfessional conduct risk
Open assessments
Risk levels: Low · Medium · High · Critical. Each requires an owner, mitigation, and approval.
| Category | Level | Explanation | Evidence | Recommended mitigation | Owner | Deadline | Approval status |
|---|---|---|---|---|---|---|---|
| Source of funds risk | Medium | Unexplained £8,500 deposit in client account history | Bank statements, client explanation pending | Further evidence request; hold before exchange | R. Okafor | 3 days | Awaiting compliance review |
| Beneficial ownership risk | High | Nominee shareholder without underlying owner identified | Shareholder register, nominee agreement absent | UBO information request issued | R. Okafor | 5 days | Awaiting compliance review |
| Sanctions risk | Critical | Possible match — counterparty director | Screening report, list extract | Blocked pending compliance determination | MLRO — D. Whitmore | Today | Escalated |
| PEP risk | High | Investor close associate of former public official | PEP database extract, adverse media scan | EDD, SoW review, senior approval | MLRO — D. Whitmore | 2 days | Escalated |
| Professional conduct risk | Medium | Potential conflict — prior matter for target company | Conflict search results | Ethical wall memo, partner sign-off | COLP — E. Hartwell | 2 days | Awaiting lawyer review |
Draft only — compliance/legal review required.