AML Assurance Reviews

Failure to implement effective Anti-Money Laundering (AML) controls in your Firm will leave you vulnerable to fines, criminal proceedings and crippling reputational damage.

How robust is your AML framework?

Proactive, periodic reviews will not only provide assurance to your senior management, the Board, and shareholders, they are also viewed positively by the regulator .

Have peace of mind with an independent review

Ensure that your clients have been onboarded in compliance with the relevant conduct of business as well as AML requirements.

Obtain assurance that your AML, CTF and Sanctions control framework is effective in managing these risks to your business.

  • A review of your AML manual
  • Client onboarding procedures and KYC responsibility allocation
  • AML Business Risk Assessment
  • Customer Risk Assessment procedures
  • Ongoing due diligence procedures
  • Training¬†
  • Suspicious activity reporting

Attain an independent view as to the adequacy of your anti-financial crime risk framework. This will include the following:

  • the processes in place for transaction monitoring, ongoing sanctions compliance, identifying and reporting suspicious activities
  • internal governance arrangements around the AML framework, including internal reporting, escalation processes and dispute resolution

Would you like to have an AML assurance review?

We will work with you to prioritise the specific activities that must be carried out in order to remediate any weaknesses identified from our review of your AML framework and Client files.

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