Audit Process
A clear sequence keeps AML audit fieldwork predictable for your compliance and operations teams.
Scoping call
We confirm licence type, prior review findings, systems used for screening and monitoring, and whether records can leave the building. You leave with a draft document request list.
Population and sample design
Your team extracts customer and alert populations. We agree sample sizes by risk band so testing time is spent where AML exposure concentrates.
Fieldwork
File testing, control walkthroughs, and staff interviews. We work in agreed daily windows so settlement and client onboarding are not frozen.
Draft findings
You see draft points while memories of interviews are fresh. Factual corrections are welcome; disagreements on severity are recorded as management comments.
Final report
The issued report maps each finding to the AML process step, sample evidence, and a practical remediation direction — without prescribing a vendor.
What you prepare
- Named engagement contact with authority to pull records
- Access to CDD archives and alert disposition notes
- Current AML policy set and enterprise risk assessment
- Quiet space for interview days if we are on-site in Central or at your branch
Natural next actions
Browse engagement types or request a scoping call when you already know the window you want to protect on the calendar.