Quick Start Guide

1. Onboarding Your Organisation to Proofdesk

Onboarding Process Details

1. Scheduling a Demo

We offer all our prospective customers an in-person or virtual guided walkthrough of Proofdesk as an informal chat with a member of the Proofdesk team. This is a chance for our team to understand your specific needs, to show how Proofdesk could fit into your AML/CFT process, and an opportunity for us to answer any questions you may have.

You can schedule a demo here.

2. Business Case

We offer our prospective customers a tailored Business Case document, outlining how Proofdesk could help in your organisation, our pricing, and our financial estimate of the benefits you'll see.

We also provide copies of our FAQs and Supplier Due Diligence documents which go into more detail about our infrastructure, information security, and data protection practices, as well as common questions around onboarding, risk mitigation, and integration with your existing processes.

3. Getting Started

Once you're happy to get started with Proofdesk, we confirm:

• Your Usage Requirements: How many Customer Relationships you have.

• Your Subscription Date: The date you would like to start your Proofdesk subscription.

• Your Authorised Contacts: Members of your team who are authorised to instruct us about configuring any detail of your Proofdesk experience.

• Billing Contacts: Members of your team who are authorised to receive invoices and other information regarding billing.

4. Kick-Off Meeting

An in-person or virtual meeting to go through your current processes and implementation in more detail, and a discussion about how we can set up Proofdesk to serve your needs best.

5. Implementation Assessment

Our team puts together a comprehensive Implementation Assessment document specific to your organisation. This document details the configuration of your AML/CFT process within Proofdesk.

Once you are happy, our team will configure Proofdesk in line with this document. If you do not require our assistance with migrating your existing data, you will be ready to get started using Proofdesk!

5. Data Migration Process

We optionally provide assistance with migrating existing data into Proofdesk.

• Exporting relevant data: The first step is to export the data you hold in your current system.

• Transforming the data to Proofdesk's import format: Proofdesk expects us to import data using an XLSX file with sheets that match its main models (Relationships, Entities, Structure, etc). This stage involves restructuring the data to fit this model. This is done by our team using a custom-built tool to ensure that the transformation is repeatable and consistent. Our tool will also produce a list of validation warnings, such as duplicated entities.

• Reviewing data: Once the data has been transformed we'll provide you with the resulting Excel file to review. There will likely be missing fields or data that couldn't be cleanly mapped. We'll need to determine if we want to use a default value, manually update the Excel file, or defer less critical information for later population.

• Importing into your Proofesk test account: After the data has been reviewed, we'll import it into a test version of your Proofdesk account. This allows you to explore the data in the live interface and confirm that everything looks and behaves as expected.

• Repeating steps as necessary: It’s common to go through one or more iterations before finalising the import. We’ll continue to adjust, re-transform, and re-import the data as needed until you’re happy with the result. Only once everything is correct will we proceed with loading the data into your live account.

After this, our team will transfer all data into your live Proofdesk account, ready to use with all your configuration and imported data!

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2. Setting Up Your Account

After Onboarding Your Organisation to Proofdesk is complete, our team sends out invitation emails to your team members.

1. Accept the Invitation: Click the link in your invitation email to create your user account.

2. Configure Two-Factor Authentication (2FA): During setup, you'll be prompted to enable 2FA using an authentication app, enhancing the security of your account and organisation. We recommend either Google Authenticator or Microsoft Authenticator, however you can use any other authentication app of your choice as long as it supports TOTP.

If you require additional team members, you can send invitations from your organisation's settings - details of this can be found in 3. Inviting Your Team Members.

More Information: For detailed steps, refer to the Users, Team Members, Roles & Grants article.

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3. Inviting Your Team Members

1. Send Invitations: Navigate to your organisation settings to invite team members via their email addresses.

2. Roles and Permissions: Assign appropriate roles and grants to control access levels within your organisation.

3. Account Setup: Invited members will follow the same setup process fr their account as in 2. Setting Up Your Account, including 2FA configuration.

More Information: Detailed guidance is available in the Users, Team Members, Roles & Grants section.

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4. Completing Your Policies

1. Complete Your Policies: Navigate to the 'Policies' tab to view all your policies.

2. Customisation: Tailor these policies to align with your organisation's compliance requirements.

3. Essential Policies: Before Proofdesk can be used to its full potential, ensure the following policies are completed:

   • Identity Policy

   • Risk Classification Policy

   • Customer Risk Assessment Policies

More Information: Refer to the Policies section for a comprehensive overview.

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5. Creating a New Entity

1. Add Entity: Go to the 'Entities' tab, select 'Add Entity' and complete the prompt to input a new entity.
2. Complete Sections: Once the Entity is created, complete the following forms in each tab:

   • Identity: Enter basic information such as name, type, and registration details.

   • Documents: Upload verification documents like passports or incorporation certificates.

   • Screening: Enter Screening information such as PEP Status, Sanctions Status etc...

   • Structure: Define the entity's linked entities and ownership structure.

More Information: Detailed overviews are provided in the Entities section.

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6. Creating a New Relationship and Completing Onboarding Review

Ensure at least one entity is created and essential policies are completed before continuing.

1. Add Relationship: Navigate to the 'Relationships' tab, select 'Add Relationship' and complete the prompt to start a new relationship.
2. Complete Onboarding Review:

   • Relationship Details: Specify the nature and purpose of the relationship.

   • Customer Review: Assess the customer entity's information and documents.

   • Introducer Review: If applicable, evaluate the introducer's details.

   • Linked Entities: Review any associated entities connected to the customer.

   • Customer Risk Assessment: Complete the risk assessment based on gathered information.

3. Submit for Approval: Once all sections are completed and validated, submit the relationship for approval.

4. Approval Process: Senior team members will review and either approve the relationship or request remediation.

More Information: Comprehensive guidance is available in the Relationships article.

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7. Getting an Overview in Dashboard

1. Access Dashboard: Click on the 'Dashboard' tab to view a summary of your organisation's compliance status.

2. Key Metrics:

   • Relationships: The current number of active relationships in the system.

   • Entities: The current number of entities in the system.

   • Warning Flags: The current number of entities with warning flags (PEP, CEP, Sanctions, Adverse Media etc..)

   • Risk Profile: A breakdown of the overall risk exposure of your organisation.

3. Actionable Insights:

   • Onboarding Reviews: A list of relationships currently undergoing onboarding reviews.

   • Current Reviews: A list of relationship currently undergoing periodic or trigger-based reviews.

More Information: Explore the Dashboard section for detailed insights.

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8. Running Reports

1. Generate Reports: Go to the 'Reports' tab to create compliance reports, including the statistical return.

2. Types of Reports:

   • Statistical Return: Generate reports for regulatory submissions.

   • Custom Reports: Tailored reports based on specific criteria. These reports are configured during 1. Onboarding Your Organisation to Proofdesk, and can also be added by our team on request.
3. Download: Reports are generated as downloadable PDF files for easy sharing and record-keeping.

More Information: Refer to the Reports section for comprehensive instructions.

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For further help and support, reach out to us at [e-mail].