Specialist Capabilities
Pre-Regulatory Inspection Readiness
Find the weaknesses before the regulator does.
01
Who this is for
- Institutions facing upcoming regulatory inspection
- Companies wanting independent pre-inspection review
- Firms with previous regulatory findings
- Businesses preparing for licensing reviews
02
The problem
- Upcoming regulatory inspection
- Uncertainty about compliance readiness
- Previous findings needing validation
- Need for independent pre-inspection challenge
03
What Fintris does
- Independent review of AML governance
- Policy and procedure review
- Customer file testing and EDD review
- Transaction monitoring and SAR/STR process review
- Sanctions and QA framework review
- Training and board reporting review
- Outsourcing and compliance monitoring review
- Remediation and audit trail review
04
Deliverables
- Inspection readiness score
- Key findings and priority regulatory risks
- Evidence gaps
- Recommended corrective actions
- Management preparation session
05
Benefits
- Identify weaknesses before the regulator does
- Independent evidence of readiness
- Clear corrective action plan
- Management preparation support
- Reduced regulatory risk
06
Engagement structure
- Fixed-scope pre-inspection review
- Management preparation session
FAQ
Frequently asked questions
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