Compliance Advisory
컴플라이언스 자문
Compliance Advisory
Anti - Money Laundering Independent Audit
We provide independent audits of Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) programs to assess their design and operating effectiveness against regulatory expectations and industry best practices. Our independent review helps boards and senior management meet their oversight responsibilities and demonstrate compliance to regulators and external stakeholders.
Engagement Scope
Scope of our independent AML audit may include:
-
Enterprise-wide AML/CTF governance and compliance framework
-
Customer Due Diligence (CDD/KYC) and Enhanced Due Diligence (EDD) practices
-
Ongoing monitoring and periodic KYC refresh processes
-
Transaction monitoring model design, tuning, and alert handling
-
Sanctions screening (name, payment, trade) effectiveness review
-
Suspicious activity identification, investigation, and reporting (SAR/STR)
-
Record keeping and data lineage review
-
Training program adequacy and staff competency
-
Technology, data quality, and system control assessment
-
Regulatory gap assessment and remediation roadmap
Our Approach
We perform our reviews with independence and objectivity, following global standards such as FATF recommendations, Wolfsberg Principles, and relevant local regulations. Our methodology evaluates both policy design and day-to-day operational effectiveness.
Value to Clients
An independent AML audit enhances regulatory credibility, identifies material weaknesses before examinations, strengthens governance, and reduces compliance and enforcement risks.
Insights
Anti - Money Laundering Independent Audit
We provide independent audits of Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) programs to assess their design and operating effectiveness against regulatory expectations and industry best practices. Our independent review helps boards and senior management meet their oversight responsibilities and demonstrate compliance to regulators and external stakeholders.
Engagement Scope
Scope of our independent AML audit may include:
-
Enterprise-wide AML/CTF governance and compliance framework
-
Customer Due Diligence (CDD/KYC) and Enhanced Due Diligence (EDD) practices
-
Ongoing monitoring and periodic KYC refresh processes
-
Transaction monitoring model design, tuning, and alert handling
-
Sanctions screening (name, payment, trade) effectiveness review
-
Suspicious activity identification, investigation, and reporting (SAR/STR)
-
Record keeping and data lineage review
-
Training program adequacy and staff competency
-
Technology, data quality, and system control assessment
-
Regulatory gap assessment and remediation roadmap
Our Approach
We perform our reviews with independence and objectivity, following global standards such as FATF recommendations, Wolfsberg Principles, and relevant local regulations. Our methodology evaluates both policy design and day-to-day operational effectiveness.
Value to Clients
An independent AML audit enhances regulatory credibility, identifies material weaknesses before examinations, strengthens governance, and reduces compliance and enforcement risks.