Independent Assurance
AML Health Check
Identify weaknesses in your AML framework before they become regulatory findings.
01
Who this is for
- Regulated financial institutions preparing for audit
- Companies facing regulatory inspection
- Businesses scaling compliance operations
- Firms with new MLROs needing a baseline assessment
- Investors conducting compliance due diligence
02
The problem
- Uncertainty about whether AML controls are operating effectively
- Upcoming regulatory inspection or audit
- Compliance transformation project
- Investor or board concerns about compliance maturity
- New MLRO needs an independent baseline
03
What Fintris does
- Independent review of AML governance
- Enterprise-wide AML risk assessment review
- Customer risk assessment methodology review
- KYC and KYB framework review
- Beneficial ownership controls
- EDD review
- PEP and sanctions controls
- Transaction monitoring review
- SAR/STR escalation processes
- Record keeping and quality assurance
- Compliance monitoring and training
- Outsourcing controls
- Management information and reporting
- Policies and procedures
04
Deliverables
- Independent assessment report
- Findings register with risk ratings
- Control gap identification
- 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
- Confidence before audits and inspections
06
Engagement structure
- Fixed-scope project with defined review areas
- Pre-audit or pre-inspection engagement
- Annual or periodic health check
FAQ
Frequently asked questions
Speak With Fintris
What are you trying to get approved, fix or improve?
Tell us what you are building, where you are operating and what is blocking you.
Confidential · No obligation