Independent AML/CFT Compliance Audit

Independent AML/CFT Compliance Audit

Within laws, rules, and regulations, one of the focal points is the independence in the assessments of the comprehensiveness and effectiveness of the AML/CFT Compliance Framework and Programme.

It is therefore crucial that you demonstrate to your regulators that you have performed the following:

  • undertaken independent assessments;
  • identified gaps and deficiencies; and
  • followed up on and implemented any recommended actions to address gaps and deficiencies.

Abler’s dedicated team of experienced compliance auditors can carry out critical audit exercises to meet the above objectives. The aim is to assess the effectiveness of the following:

  • Current AML/CFT Policies, Procedures and Systems & Controls.
  • Compliance & Risk Management Framework.
  • Ongoing compliance Monitoring Programme.
  • Client Onboarding, Relationships & Transaction Monitoring, Risk Escalation and Remediation.
  • Business and Client Risk assessment.