Independent Assurance
Independent AML & Financial Crime Assurance
Know whether your AML controls are actually working before an auditor or regulator tells you they are not.
01
Who this is for
- Regulated financial institutions preparing for audit
- Companies facing regulatory inspection
- Businesses scaling compliance operations
- Companies using outsourced KYC or TM providers
- Investors conducting compliance due diligence
02
The problem
- Uncertainty about whether AML controls are operating effectively
- Upcoming regulatory inspection or audit
- No independent testing of compliance case quality
- Outsourced provider performance unverified
- Board or investor concerns about compliance maturity
03
What Fintris does
- Independent review of AML governance
- Enterprise-wide AML risk assessment review
- KYC and KYB framework review
- Customer risk assessment methodology review
- EDD, PEP and sanctions controls review
- Transaction monitoring review
- SAR/STR escalation process review
- Independent quality assurance of completed cases
- Outsourcing controls review
- Management information and reporting review
- Policies and procedures review
- Training review
04
Deliverables
- Independent assessment report
- Findings register with risk ratings
- Control gap identification
- QA score and error classification
- Recommended remediation actions
- Prioritised action plan
- Executive management summary
05
Benefits
- Understand compliance weaknesses before they become regulatory findings
- Independent evidence of control effectiveness
- Clear prioritised remediation plan
- Board and regulator-ready reporting
- Independent oversight of outsourced providers
06
Engagement structure
- Fixed-scope AML health check
- Monthly QA programme with defined sample sizes
- Quarterly independent testing
- One-off assessment
FAQ
Frequently asked questions
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