AML and KYC checks before the matter opens.

AML and KYC software for law firms records who a client is, where their money comes from and whether they appear on a sanctions list, before the firm takes the work. It keeps a checklist of the documents collected, a risk rating, the result of each screen and who approved the client, so the firm can show later what it checked and when.

In LawAOS each client carries a KYC status of Not Started, Pending, Verified or Expired, a risk rating of Low, Medium or High set by a person, and a checklist covering ID document, proof of address, source of wealth, PEP screening, beneficial ownership and sanctions check. Sanctions screening is a fuzzy name match, including aliases, against the US Treasury OFAC SDN list.

LawAOS is a record of the firm's own checks. It does not verify identity through a third-party provider, and it screens against the OFAC SDN list only, so firms with UK, EU or UN screening duties need another source for those lists.

Onboarding problems in law firms rarely come from a missing tool. They come from checks done in email and spreadsheets, where nobody can see which client is still waiting on proof of address or who signed off a high-risk client. The record matters as much as the check.

A status per client

Every client should show where due diligence stands. LawAOS uses Not Started, Pending, Verified and Expired so the list of clients awaiting documents is one filter away.

A checklist that names each item

ID document, proof of address, source of wealth, PEP screening, beneficial ownership and sanctions check are separate items, so a partial file is visible as partial.

A risk rating a person owns

The risk rating is set manually. LawAOS does not score risk automatically, so the decision stays with the person who reviewed the file.

A gate for higher risk

The optional enhanced due diligence gate blocks approval of a High-risk client until the extra steps are recorded.

• Matters opened before checks finish: guided accept runs the conflict check and AML screen before the matter is created.
• Retyping ID details: the AI reads fields from an uploaded ID, cites the line it read, and a person confirms each field.
• No trail of sanctions results: each OFAC screen result is kept on the client record.
• Stale sanctions data: an administrator refreshes the OFAC SDN list with one button, and should do so on a regular schedule.
• Expired due diligence: the Expired status marks clients whose checks need renewing.

A solo practitioner mostly needs a checklist and a place to store the documents. A firm with several fee earners needs the status and risk rating visible to whoever approves new clients, and a rule that high-risk clients cannot be approved until enhanced due diligence is complete. Larger firms often add a dedicated compliance role; LawAOS permissions decide who can approve and who can only view.