Preparing for an AML Inspection
A practical inspection readiness guide for regulated financial institutions.
For MLROs, Heads of Compliance and Executive Committees.
This guide helps MLROs, Heads of Compliance and Executive Committees test inspection readiness across the areas most commonly examined in supervisory engagements. Inside you will find eight focus areas, a tickbox checklist for each, a readiness score and recommended next steps.
Dentro encontrará
- Governance, Board reporting and MLRO oversight
- Customer Due Diligence and Transaction Monitoring
- Sanctions, Suspicious Activity Reporting and MI
- Evidence preparation and readiness score
Readiness is not a project. It is a state. Firms that are ready for scrutiny tend to share three characteristics: they describe their highest risks in plain language, they can evidence their framework quickly, and they have already addressed the issues a supervisor is most likely to raise.
This guide covers the areas most commonly examined in supervisory engagements. Use it to identify where evidence is strong, where it is uneven and where work is required before any inspection begins.
Estructurado para ser útil, no para impresionar.
Governance, Board reporting and MLRO oversight
Customer Due Diligence and Transaction Monitoring
Sanctions, Suspicious Activity Reporting and MI
Evidence preparation and readiness score
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