Independent AML Program Reviews

Thorough, unbiased evaluations of your AML compliance program per FFIEC, FinCEN, and OFAC standards.

Comprehensive Program Evaluation

Our independent AML program reviews provide a thorough assessment of your anti-money laundering compliance framework, helping you identify strengths, weaknesses, and opportunities for improvement.

Led by former regulators and compliance experts, our review process goes beyond checkbox compliance to evaluate the effectiveness and efficiency of your AML controls in relation to your specific risk profile.

Whether you're preparing for a regulatory examination, responding to enforcement actions, or simply seeking to enhance your compliance posture, our independent reviews provide the insights and recommendations you need.

AML Program Review

Key Components We Evaluate

Policies & Procedures

We review your AML policies and procedures to ensure they are comprehensive, up-to-date, and aligned with regulatory expectations and industry best practices.

Customer Due Diligence

Our team evaluates your KYC and CDD processes, including beneficial ownership identification, risk rating, and enhanced due diligence procedures for higher-risk customers.

Transaction Monitoring

We assess the effectiveness of your transaction monitoring systems, including scenario tuning, alert management, and investigation processes.

SAR/CTR Filing

Our experts review your suspicious activity reporting and currency transaction reporting processes to ensure timely, accurate, and complete filings.

Governance & Oversight

We evaluate your compliance governance structure, including board and management oversight, reporting lines, and the independence of compliance functions.

Training Program

Our review includes an assessment of your AML training program to ensure it is comprehensive, role-specific, and effectively delivered to all relevant personnel.

Our Review Process

1

Initial Assessment

We evaluate your current AML program structure, policies, and procedures.

2

Risk-Based Testing

Our team conducts thorough testing of controls based on your risk profile.

3

Gap Analysis

We identify compliance gaps and areas for improvement.

4

Remediation Planning

We develop actionable recommendations to address identified issues.

5

Implementation Support

Our team provides guidance throughout the remediation process.

Benefits

Regulatory Confidence

Gain assurance that your AML program meets all applicable regulatory requirements.

Risk Mitigation

Identify and address compliance gaps before they become regulatory issues.

Operational Efficiency

Optimize your compliance processes to reduce costs while maintaining effectiveness.

Expert Insights

Benefit from our team's deep regulatory knowledge and industry best practices.

Ready to Strengthen Your Compliance?

Let's discuss how we can help your institution achieve and maintain regulatory excellence.

Or reach us directly

Our Office

12600 Hill Country Blvd, Suite R-275, Bee Cave, TX 78738

Why Choose Us?

  • Expert regulatory knowledge

  • Tailored compliance solutions

  • Cutting-edge technology