Independent Assurance
Independent AML Quality Assurance
Independent testing of completed compliance cases to evidence that controls are operating as intended.
01
Who this is for
- Institutions with internal AML teams
- Companies using outsourced KYC or TM providers
- Rapidly growing fintechs
- Businesses preparing for regulatory inspection
- Companies needing independent second-line testing
02
The problem
- No independent testing of compliance case quality
- Outsourced provider performance unverified
- Inconsistent case quality across teams
- Regulator expects evidence of quality control
- Recurring errors not identified
03
What Fintris does
- Review completed KYC and KYB cases
- Review EDD cases
- Review transaction monitoring alerts
- Review investigations and sanctions cases
- Review PEP reviews and customer risk assessments
- Measure accuracy, policy compliance and decision quality
- Assess documentation, escalation quality and error trends
04
Deliverables
- QA score and pass/fail results
- Critical, material and minor error classification
- Recurring issue analysis and root cause observations
- Analyst and team performance trends
- Quality recommendations
- Monthly management report
- Remediation tracking
05
Benefits
- Independent evidence that controls are operating effectively
- Identify recurring errors and root causes
- Track quality trends over time
- Support regulatory inspection readiness
- Independent oversight of outsourced providers
06
Engagement structure
- Monthly QA programme with defined sample sizes
- Quarterly independent testing
- One-off QA assessment
FAQ
Frequently asked questions
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