Regulatory inspections are becoming more frequent, with AML framework effectiveness as a key focus. Regular independent AML audits help identify and remediate gaps before regulatory visits, protecting your licence.
AUDIT SERVICES
Independent AML Audit
Independent AML Audit
Comprehensive review of your AML/CFT framework against current regulatory requirements, with a detailed findings and remediation report.
Internal Controls Review
Internal Controls Review
Assessment of internal control effectiveness covering transaction monitoring, client onboarding, and risk management procedures.
Compliance Document Customisation
Compliance Documentation
Customised AML/CFT policies, procedures, and compliance manuals tailored to your business model and regulatory obligations.
Regulatory Inspection Support
Regulatory Inspection Support
On-site and remote support during regulatory inspections, including document preparation, Q&A coaching, and post-inspection remediation.
Audit Focus Areas
›AML/CFT Framework
›Transaction Monitoring
›Customer Due Diligence
›Sanctions Screening
›STR Filing
PROCESS
1
Scope Definition
2
Document Review
3
On-site Testing
4
Findings Report
5
Remediation Plan