Audit engagement
AML Control Assessment
Independent testing of customer due diligence, transaction monitoring alerts, and escalation paths for fintech firms handling payments or remittances.
Ask about AML assessment
Who it is for
Compliance managers who need sample-based assurance before an internal audit cycle or correspondent bank review.
Result you receive
A scored control matrix covering CDD, ongoing monitoring, SAR decision trails, and staff awareness gaps.
Scope
Policy review, alert sample testing, and interview of the MLRO or designated officer.
Included
- AML policy and procedure review
- Sample of 25–40 onboarding and monitoring cases
- Escalation path walkthrough
- Findings memo with priority actions
Not included
- Full forensic investigation
- Transaction monitoring rule writing
How the engagement runs
- 1 Intake
- 2 Sample selection
- 3 Testing
- 4 Findings memo
Preparation
Export anonymised alert logs and provide CDD templates.
Constraints
Samples are risk-based; coverage is not a full population audit.