Workflow

Every compliance engagement follows a clear, repeatable path

From matter creation to evidence pack export, duely helps your team follow the same structured path across program governance, due diligence, approvals, and reporting-sensitive activity.

Accounting firms

You'll see "Engagements"

New audit engagement for Acme Pty Ltd

Real estate agencies

You'll see "Transactions"

Property sale — 42 Smith St, Bondi

Law firms

You'll see "Matters"

Estate planning matter — Chen family

Set your firm type once during setup. Labels, workflows, and reporting adapt automatically.

Three phases

Phase 1

Open and scope

Create the matter, decide whether a designated service applies, identify customers and beneficial owners, and collect supporting documents.

Phase 2

Due diligence

Verify identities, screen against sanctions and PEP lists, assess risk, and run enhanced CDD where needed.

Phase 3

Approve and retain

Route for senior management sign-off, generate the evidence pack, and anchor retention.

Phase 1 Open and scope

Matter Creation

Staff

Create matter, assign owner and team, link to client/entity.

Evidence captured

Matter record created · Team assignment logged · Client linkage recorded

Scoping Gate

Staff

Determine if engagement involves a designated service (Yes/No/Unsure).

Evidence captured

Scoping decision · Rationale (mandatory for No/Unsure) · Service type classification

Customer Identification

Client / Staff

Collect customer identity information and documents via client portal or staff upload.

Evidence captured

Identity documents · Upload timestamps · File hashes

BO/Controller Identification

Staff

For entities — identify beneficial owners (25%+), trustees, directors, controllers.

Evidence captured

BO/controller records · Ownership percentages · Unknown reasons (where applicable)

Document Upload

Client

Clients upload supporting documents through the secure portal.

Evidence captured

Document receipts · Upload timestamps · File integrity hashes

Phase 2 Due diligence

Verification

Staff / System

Run identity checks via provider adapter (safe harbour, non-safe harbour, or manual).

Evidence captured

Verification method path · Provider reference IDs · Normalised results

Screening

System / Staff

Sanctions, PEP, and optional adverse media screening of all parties.

Evidence captured

Screening results · Decision and rationale · Cleared/escalated status

Risk Assessment

Staff

Complete guided risk wizard with multi-factor scoring and mandatory rationale.

Evidence captured

Risk rating (low/medium/high) · Factor assessments · Decision rationale

Enhanced CDD

Staff / Approver

If triggered — source of funds, source of wealth, additional verification.

Evidence captured

ECDD case record · SOF/SOW documentation · Required actions completed

Phase 3 Approve and retain

Approval

Approver

Route to senior management for sign-off on the engagement.

Evidence captured

Approval record · Approver identity · Timestamp and notes

Evidence Pack

Staff

Generate tamper-evident evidence pack snapshot. Standard pack for normal staff, AMLCO-only Sensitive pack for raw provider payloads — toggled by role, not per-export.

Evidence captured

Versioned evidence pack · Per-version SHA-256 integrity hash · Profile applied — Standard or AMLCO-only Sensitive · Retention anchor set

Every step produces audit-ready evidence

When AUSTRAC requests your compliance record, you have a complete, tamper-evident trail — scoping decisions, identity documents, verification paths, risk assessments, approval records, and SHA-256 integrity hashes.

A matter-level decision trail
Linked customer and beneficial owner data
Risk and ECDD records where relevant
Approval history with approver identity
A versioned, hashed evidence pack
Reporting references where required

See how the workflow fits your firm

Ready to explore how duely can structure your firm's tranche 2 compliance?

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