End-to-End Program Evaluation

Challenge Program Gap Analysis and Recommendations

Performed end-to-end review of the client’s overall AML program against industry best practices, identified key gaps and offered recommended program changes.  Areas of review included:

  • Client vetting and on-boarding documentation
  • Risk rating methodology
  • Surveillance monitoring program including research, escalation and SAR filing
  • Alignment of processes with regulatory requirements, industry standards, and documented procedures
  • Effectiveness of implemented compliance-related technology
  • Data quality and consistency
  • User training