| No. | Item | Definition |
|---|---|---|
| 1. | ABAC | anti-bribery and corruption controls |
| 2. | access | ability to view or use |
| 3. | AML | anti-money laundering controls |
| 4. | approval | formal agreement to proceed |
| 5. | assessment | evaluation of a situation |
| 6. | audit | formal review of records |
| 7. | authentication | verifying identity |
| 8. | authorization | formal permission to act |
| 9. | benchmarking | comparing against standards or peers |
| 10. | breach | violation causing exposure or loss |
| 11. | bribery | offering value to influence |
| 12. | CDD | customer due diligence |
| 13. | compensating control | alternate measure reducing risk |
| 14. | compliance | following laws, rules, and policies |
| 15. | confidentiality | keeping information secret |
| 16. | conflict of interest | competing personal and work interests |
| 17. | control | a measure reducing risk |
| 18. | corruption | abuse of power for gain |
| 19. | cybersecurity | protection of digital systems |
| 20. | dashboard | visual summary of metrics |
| 21. | data protection | safeguarding personal data |
| 22. | deficiency | weakness needing correction |
| 23. | disclosure | making information known |
| 24. | documentation | recorded supporting information |
| 25. | due diligence | reasonable investigation before action |
| 26. | EDD | enhanced due diligence |
| 27. | enforcement | ensuring rules are obeyed |
| 28. | escalation | raising an issue upward |
| 29. | ethics | moral principles for conduct |
| 30. | evidence | proof supporting a conclusion |
| 31. | examination | official review by authority |
| 32. | exception | approved departure from a rule |
| 33. | filing | formal submission of information |
| 34. | finding | issue identified during review |
| 35. | fine | monetary penalty |
| 36. | framework | structured system of guidance |
| 37. | fraud | intentional deception for gain |
| 38. | gap | missing required element |
| 39. | governance | system of oversight and direction |
| 40. | guidance | advice on applying rules |
| 41. | hotline | channel for reporting concerns |
| 42. | incident | event causing concern or harm |
| 43. | independence | freedom from undue influence |
| 44. | inherent risk | risk before controls |
| 45. | insider trading | trading on nonpublic information |
| 46. | inspection | onsite official review |
| 47. | investigation | formal inquiry into concerns |
| 48. | issue | problem requiring action |
| 49. | jurisdiction | legal authority area |
| 50. | KPI | key performance indicator |
| 51. | KRI | key risk indicator |
| 52. | KYC | know your customer checks |
| 53. | law | system of legal requirements |
| 54. | license | official permission to operate |
| 55. | mapping | linking requirements to controls |
| 56. | materiality | importance to decisions or reporting |
| 57. | metric | measure used for tracking |
| 58. | misconduct | improper or unethical behavior |
| 59. | mitigation | action reducing risk |
| 60. | money laundering | hiding illegal money origins |
| 61. | monitoring | ongoing checking of activities |
| 62. | notification | formal notice to others |
| 63. | objectivity | unbiased judgment based on facts |
| 64. | obligation | duty imposed by rule |
| 65. | oversight | supervision and review activities |
| 66. | penalty | punishment for noncompliance |
| 67. | policy | a guiding internal rule |
| 68. | privacy | protection of personal information |
| 69. | procedure | set way to perform |
| 70. | proportionality | balanced to the level of risk |
| 71. | recordkeeping | maintaining required records |
| 72. | regulation | an official rule or requirement |
| 73. | remediation | fixing identified problems |
| 74. | reporting | providing required information |
| 75. | residual risk | risk after controls |
| 76. | retention | keeping records for time |
| 77. | review | careful examination of something |
| 78. | risk | chance of loss or harm |
| 79. | sanctions | official trade or financial restrictions |
| 80. | screening | checking against watchlists |
| 81. | security | protection against threats or loss |
| 82. | segregation of duties | splitting tasks to prevent abuse |
| 83. | settlement | resolved case by agreement |
| 84. | standard | accepted level or requirement |
| 85. | statute | law passed by legislature |
| 86. | surveillance | ongoing observation for issues |
| 87. | threshold | level triggering action |
| 88. | timeliness | done at the right time |
| 89. | tone at the top | leaders’ ethical example |
| 90. | traceability | ability to track history |
| 91. | training | instruction for employees |
| 92. | transaction monitoring | reviewing transactions for suspicious activity |
| 93. | transparency | openness and clarity |
| 94. | triage | prioritizing cases by urgency |
| 95. | validation | confirming something is sound |
| 96. | verification | checking truth or accuracy |
| 97. | violation | failure to follow requirements |
| 98. | waiver | formal permission to bypass |
| 99. | whistleblowing | reporting wrongdoing internally or externally |
| 100. | workflow | sequence of process steps |