AML Audit Services


AML Audit Services is a provider of independent testing of Anti-Money Laundering Compliance Programs designed for the small broker-dealer and money service business. Our industry experience and consultative approach provide for an unmatched level of precision and expertise. A proven track record of success and satisfied customers make AML Audit Services a trusted partner for your AML testing needs.


Successfully Managing Anti-Money Laundering
Compliance Risk


Regulatory efforts to fight money laundering and terrorism have changed the way financial institutions comply with AML compliance. Compliance regulations are rapidly changing and it is essential that you monitor your program closely. Your firm's future success depends on the strength of your AML Compliance Program.

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Independent testing of your AML compliance program is only one of the demands placed on a firm like yours, and its likely one of the most important. A firm’s independent testing is crucial as it helps determine whether its AML Compliance Program functions as intended and it provides a chance to adjust, identify and fix weaknesses. Firms must provide for annual (on a calendar-year basis) independent testing for compliance to be conducted by personnel or by a “qualified” outside party. The firm must ensure that the AML independent testing of their firm is truly independent, accurate and thorough. Failure to do so could cost the firm thousands in fines and/or implementation of additional burdensome AML compliance measures.

 
The professionals at AML Audit Services have practical, hands-on industry experience and provide you with a combination of technical expertise, industry best practices and objectivity. Our knowledge, skills and experience in the detection and prevention of money laundering help to promote the development and implementation of sound anti-money laundering policies.


Establishing an independent testing program designed to identify and address weaknesses in BSA/AML programs before they come to the attention of the regulators can assist firms in managing their reputational risk and regulatory standing.

 

From your firm's public image to your customer’s confidence, independent testing of your AML Compliance Program conducted by AML Audit Services will provide you with peace of mind.